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Full text of "North Carolina Register v.8 no. 20 (1/14/1994)"

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RE 



PI "J. 



JAN 19 1994 

KATHRINE R EVERETT 
LAW LIBRARY 



The 



NORTH CAROLINA 

REGISTER 



IN TfflS ISSUE 



; ^ORTH , 



:oHa^ 



s^^ 



IN ADDITION 

Voting Rights Act 



PROPOSED RULES 

Dental Examiners 

Environment, Health, and Natural Resources 

Human Resources 

Insurance 

Medical Examiners 

Real Estate Appraisal 

Real Estate Commission 



RRC OBJECTIONS 



RULES INVALIDATED BY JUDICIAL DECISION 



CONTESTED CASE DECISIONS 



ISSUE DATE: January 14, 1994 



Volume 8 • Issue 20 • Pages 1942 - 2031 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATTVE CODF. 



NORTH CAROLINA REGISTER 



The North Carolina Register is published twice a month and 
contains infonnalion relating to agency, executive, legislative and 
judicial actions required by or affecting Chapter 150B of the 
General Statutes. All proposed administrative rules and notices of 
public hearings filed under G.S. 150B-21.2 must be published in 
the Register. The Register will typically comprise approximately 
fifty pages per issue of legal text. 

State law requires that a copy of each issue be provided free of 
charge to each county in the stale and to various state officials and 
institutions. 

The North Carolina Register is available by yearly subscription 
at a cost of one hundred and five dollars (S105.00) for 24 issues. 
Individual issues may be purchased for eight dollars (S8.00). 

Requests for subscription to the North Carolina Register should 
be directed to the Office of Administrative Hearings, 
P. 0. Drawer 27447, Raleigh, N. C. 2761 1-7447. 



TEMPORARY RULES 

Under certain emergency conditions, agencies may issue 
temporary rules. Within 24 hours of submission to OAH, the 
Codifier of Rules must review the agency's written statement of 
findings of need for the temporary rule pursuant to the provisions in 
G.S. 150B-21.1. If the Codifier determines that the findings meet 
the criteria in G.S. 150B-21.1, the rule is entered into the NCAC. If 
the Codifier determines that the findings do not meet the criteria, 
the rule is returned to the agency. The agency may supplement its 
findings and resubmit the temporary rule for an additional review 
or the agency may respond that it will remain with its initial 
position. The Codifier, thereafter, will enter the rule into the 
NCAC. A temporary rule becomes effective either when the 
Codifier of Rules enters the rule in the Code or on the sixth 
business day after the agency resubmits the rule without change. 
The temporary rule is in effect for the period specified in the rule or 
180 days, whichever is less. An agency adopting a temporary rule 
must begin rule-making procedures on the permanent rule at the 
same time the temporary rule is filed with the Codifier. 



ADOPTION AMENDMENT, AND REPEAL OF 
RULES 



NORTH CAROLINA ADMINISTRATIVE CODE 



The following is a generalized statement of the procedures to be 
followed for an agency to adopt, amend, or repeal a rule. For the 
specific statutory authority, please consult Article 2A of Chapter 
150B of the General Statutes. 

Any agency intending to adopt, amend, or repeal a rule must 
first publish notice of the proposed action in the North Carolina 
Register. The notice must include the time and place of the public 
hearing (or instructions on how a member of the public may request 
a hearing); a statement of procedure for public comments; the text 
of the proposed rule or the statement of subject matter; the reason 
for the proposed action; a reference to the statutory authority for the 
action and the proposed effective date. 

Unless a specific statute provides otherwise, at least 15 days 
must elapse following publication of the notice in the North 
Carolina Register before the agency may conduct the public 
hearing and at least 30 days must elapse before the agency can take 
action on the proposed rule. An agency may not adopt a rule that 
differs substantially from the proposed form published as part of 
the public notice, until the adopted version has been published in 
the North Carolina Register for an additional 30 day comment 
period. 

When final action is taken, the promulgating agency must file 
the rule with the Rules Review Commission (RRC). After approval 
by RRC, the adopted rule is filed with the Office of Administrative 
Hearings (OAH). 

A rule or amended rule generally becomes effective 5 busmcss 
days after the rule is filed with the Office of Administrative 
Hearings for publication m the North Carolina Admimstrative Code 
(NCAC). 

Proposed action on rules may be withdrawn by the promulgatmg 
agency at any time before final action is taken by the agency or 
before filing with OAH for publication in the NCAC. 



The North Carolina Administrative Code (NCAC) is a 
compilation and index of the administrative rules of 25 state 
agencies and 38 occupational licensing boards. The NCAC 
comprises approximately 15,000 letter size, single spaced pages of 
material of which approximately 35% of is changed annually. 
Compilation and publication of the NCAC is mandated by G.S. 
150B-21.18. 

The Code is divided into Titles and Chapters. Each state agency 
is assigned a separate title which is further broken down by 
chapters. Title 21 is designated for occupational licensing boards. 

The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimum cost of 
two dollars and 50 cents (S2.50) for 10 pages or less, 
plus fifteen cents (SO. 15) per each additional page. 

(2) The full publication consists of 53 volumes, totaling in 
excess of 15,000 pages. It is supplemented monthly 
with replacement pages. A one year subscription to the 
full publication including supplements can be 
purchased for seven hundred and fifty dollars 
(5750.00). Individual volumes may also be purchased 
with supplement service. Renewal subscriptions for 
supplements to the initial publication are available. 

Requests for pages of rules or volumes of the NCAC should be 
directed to the Office of Administrative Hearings. 



CITATION TO THE NORTH CAROLINA 
REGISTER 

The North Carolina Register is cited by volume, issue, page 
number and date. 1:1 NCR 101-201, April 1, 1986 refers to 
Volume 1, Issue 1, pages 101 through 201 of the North Carolina 
Register issued on April 1, 1986. 



FOR INFORMATION 


CONTACT 




Office 


of 


Administrative 


Hearin 


gs. 


ATTN: Ru 


es 


Division, 


P.O. 


Drawer 27447, 


Raleigh, 


North Carolina 


27611 


-7447, 


(919) 


733-2678. 

















NORTH 
CAROLINA 
REGISTER 




Office of Administrative Hearings 

P. O. Drawer 27447 

Raleigh, North Carolina 27611-7447 

(919) 733-2678 



Julian Mann III, 

Director 
James R. Scarcella Sr. , 

Deputy Director 
Molly Masich, 

Director of APA Services 



Staff: 

Ruby Creech, 

Publications Coordinator 
Teresa Kilpatrick, 

Editorial Assistant 
Jean Shirley, 

Editorial Assistant 

This publication is printed on permanent, 
acid-free paper in compliance with 
G.S. 125-11.13. 



ISSUE CONTTENTS 



I, IN ADDITION 

Voting Rights Act 



1942 



II. PROPOSED RULES 

Environment, Health, and 
Natural Resources 

Wildlife Resources 1957 

Human Resources 
Medical Assistance 1943 

Insurance 

Financial Evaluation Division . . . 1946 

Life and Health Division 1956 

Medical Database Commission . . 1956 

Licensing Boards 

Dental Examiners 1960 

Medical Examiners 1965 

Real Estate Appraisal 1976 

Real Estate Commission 1996 

III. RRC OBJECTIONS 1999 

IV. RULES INVALIDATED BY 
JUDICIAL DECISION 2005 

V. CONTESTED CASE DECISIONS 

Index to ALJ Decisions 2CX36 

Text of Selected Decisions 

93 CPS 0652 2016 

93 DOJ 1003 2020 

93 EDC 1143 2022 

VI. CUMULATIVE INDEX 2028 



NORTH CAROLEVA REGISTER 

Publication Schedule 

(July 1993 - May 1994) 



Volume 

and 

Issue 

Number 


Issue 
Date 


Last Da>' 

for 

Filmg 


Last Day 
for Elec- 
tronic 
Filing 


Earliest 
Date for 
Public 
Heanng 
15 days 
from 
notice 


* End of 

Required 

Comment 

Period 

30 days 

from 

nonce 


I jjst Day 

to Submit 

to RRC 


** Earliest 

Effective 

Date 


8:7 


07/01/93 


06/10/93 


06/17/93 


07/16/93 


08/02/93 


08/20/93 


10/01/93 


S:S 


07/15/93 


06/23/93 


06/30/93 


07/30/93 


08/16/93 


08/20/93 


10/01/93 


8:9 


08/02/93 


07/12/93 


07/19/93 


08/17/93 


09/01/93 


09/20/93 


11/01/93 


8:10 


08/16/93 


07/26/93 


08/02/93 


08/31/93 


09/15/93 


09/20/93 


11/01/93 


8:11 


09/01/93 


08/11/93 


08/18/93 


09/16/93 


10/01/93 


10/20/93 


12/01/93 


8:12 


09/15/93 


08/24/93 


08/31/93 


09/30/93 


10/15/93 


10/20/93 


12/01/93 


8:13 


10/01/93 


09/10/93 


09/17/93 


10/18/93 


11/01/93 


11/22/93 


01/01/94 


8:14 


10/15/93 


09/24/93 


10/01/93 


11 01/93 


11/15/93 


11/22/93 


01/01/94 


8:15 


11/01/93 


10/11/93 


10/18/93 


11/16/93 


12/01/93 


12/20/93 


02/01/94 


8:16 


11/15/93 


10/22/93 


10/29/93 


11/30/93 


12/15/93 


12/20/93 


02/01/94 


8:17 


12/01/93 


11/05/93 


11/15/93 


12/16/93 


01/03/94 


01/20/94 


03/01/94 


8:18 


12/15/93 


11/24/93 


12/01/93 


12/30/93 


01/14/94 


01/20/94 


03/01/94 


8:19 


01/03/94 


12/08/93 


12/15/93 


01/18/94 


02/02/94 


02/21/94 


04/01/94 


8:20 


01/14/94 


12/21/93 


12/30/93 


01/31/94 


02/14/94 


02/21/94 


04/01/94 


8:21 


02/01/94 


01/10/94 


01/18/94 


02/16/94 


03/03/94 


03/21/94 


05/01/94 


8:22 


02/15/94 


01/25/94 


02/10/94 


03/02/94 


03/17/94 


03/21/94 


05/01/94 


8:23 


03/01/94 


02/08/94 


02/15/94 


03/16/94 


03/31/94 


04/20/94 


06/01/94 


8:24 


03/15/94 


02/22/94 


03/10/94 


03/30/94 


04/14/94 


04/20/94 


06/01/94 


9:1 


04/04/94 


03/11/94 


03/18/94 


04/19/94 


05/04'94 


05/20/94 


07/01/94 


9:2 


04/15/94 


03/24/94 


03/31/94 


05/02/94 


05/16/94 


05/20/94 


07/01/94 


9:3 


05/02/94 


04/11/94 


04/18/94 


05/17/94 


06/01/94 


06/20/94 


08/01/94 


9:4 


05 16 '94 


04/25/94 


05/02/94 


05/31/94 


06/15/94 


06/20/94 


08/01/94 



Sole: Time is computed according to the Rules of Civil Procedure, Rule 6. 

* An agency must accept comments for at least 30 days after the proposed text is published or until the date 
of any public hearing, whichever is longer. See G.S. I50B-2I. 2(f) for adoption procedures. 

** The "Earliest Effective Date " is computed assuming that the agency follows the publication schedule above, 
that the Rules Rexiew Commission approves the nde at the next ccdendar month meeting after submission, and 
that RRC delivers the rule to the Codifier of Rules five (5) business days before the 1st business day of the next 
calendar month. 



Re\ised 07/93 



IN ADDITION 



I his Section contains public notices that are required to he published in the Register or have been 
approved by the Codifier of Rules for publication. 



U.S. Department of Justice 

Civil Rights Division 

JPT:MAP:EMP:emr Voting Section 

DJ 166-012-3 P.O. Box 66128 

93-4086 Washington, D.C. 20035-6128 

December 16, 1993 

DeWitt F. McCarley, Esq. 

City Attorney 

P O. Box 7207 

Greenville, North Carolina 27835-7207 

Dear Mr. McCarley: 

This refers to eight annexations (Ordinance Nos. 2680-2683, 2698, and 2705-2707) and the 
designation of the annexed areas to single-member districts for the City of Greenville in Pitt County, North 
Carolina, submitted to the Attorney General pursuant to Section 5 of the Voting Rights Act of 1965, as 
amended, 42 U.S.C. 1973c. We received your submission on October 22, 1993. 

The Attorney General does not interpose any objection to the specified changes. However, we note 
that Section 5 expressly provides that the failure of the Attorney General to object does not bar subsequent 
litigation to enjoin the enforcement of the changes. See the Procedures for the Administration of Section 
5 (28 C.F.R. 51.41). 



Sincerely, 

James P. Turner 

Acting Assistant Attorney General 

Civil Rights Division 



By: 



Steven H. Rosenbaum 
Chief, Voting Section 



8:20 NORTH CAROLINA REGISTER January 14, 1994 1942 



PROPOSED RULES 



TITLE 10 - DEPARTMENT 
OF HUMAN RESOURCES 

I\otice is hereby- given in accordance with G.S. 
150B-21.2 that the DHR-Division of Medical 
Assistance intends to adopt rules cited as 10 NCAC 
26B .0124, 26H .0511 and 261 .0301 - .0305. 

1 he proposed effective date of this action is April 
1. 1994. 

1 he public hearing will be conducted at 1:30 
p.m. on February 15. 1994 at the North Carolina 
Division of Medical Assistance. 1985 Utnstead 
Drive. Room 132. Raleigh. NC 27603. 

iCeason for Proposed Action: 
10 NCAC 26B .0124 - Rule necessary to establish 
targeted case management for persons with con- 
firmed medical diagnosis of HIV disease. 
10 NCAC 26H .0511 - Rule necessary to establish 
reimbursement methodology for HIV Case Manage- 
ment Services. 

10 NCAC 261 .0301 - .0305 - Adoption of rules 
necessary to provide transfer and discharge appeal 
procedures for nursing facility residents. 

(^onwient Procedures: Written comments con- 
cerning these Rules must be submitted by February 
14. 1994. to: Division of Medical Assistance, 
1985 Umstead Drive. Raleigh. NC 27603 ATTN: 
Clarence Ervin, APA Coordinator. Oral comments 
mux be presented at the hearing. In addition, a 
fiscal impact statement is available upon written 
request from the same address. 

CHAPTER 26 - MEDICAL 
ASSISTANCE 

SL^BCHAPTER 26B - MEDICAL 
ASSISTANCE PROMDED 

SECTION .0100 - CENTRAL 

.0124 HIV CASE MANAGEMENT 

(a) The components of HIV case management 
are listed below. In order to be reimbursed by the 
Di\ ision of Medical Assistance, a pro\ider shall 
proNJde all of these components: 

( 1 ) Evaluation of the client's situation to 
determine the need for initial case 
management ser\ ices: 



121 

141 
15} 
16] 

18) 



Comprehensive 
client's health 



assessment of the 
care, psychosocial. 



environmental and financial needs; 



Development and implementation of a 
plan of care which includes goals, 
services to be provided and progress 
notes: 

Coordination of service delivery when 
multiple providers or programs are 
involved in care provision: 
Monitoring to ensure that services 
received meet the client's needs and are 
consistent with good quality' of care: 
Follow-up an assessment to determine 
the continued appropriateness of 
services, the correct level of care, and 
the continued need for services: 
Discharge of the client from service; 
and 

Locating and helping access available 
systems, resources and services within 
the community to meet the client's 
needs. 

(b) Persons are eligible to receive HIV case 
management services if they: 

(1) Have a medical diagnosis of HIV 
disease: and 

Are eligible for regular Medicaid 
services: and 

Are not institutionalized; and 
Are not recipients of other Medicaid- 
reimbursed case management services 
proN'ided through the State's home and 
community-based v.'aivers or the State 
Plan. 

(c) Provider Qualifications. Providers of HIV 
case management services shall: 

(1 ) Be enrolled in accordance with section 
1902(a)(23) of the Social Security Act; 
and 

(2) Meet applicable State and Federal Laws 
governing the participation of providers 
in the Medicaid program: and 

£3] Be certified bv the AIDS Care Branch. 
Division of Adult Health Promotion. 
Department of Environment. Health and 
Natural Resources as a qualified HIV 
case management pro\'ider. To be 
certified, a provider must: 
(A) Submit an application to the AIDS 
Care Branch that includes the 
provider's plans for j^ 
(i) ProN'ision of al] the HIV case 
management components m 10 
NCAC 268 .0124(a): and 



(2) 
ill 

(4) 



1943 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



(ii) Quality assurance, including the 
monitoring and evaluation of case 
management records. 
(B) Have qualified case managers with 
supervision provided by a supervisor 
who meets the requirements in 10 
NCAC 26B .0124(d), except that case 
managers qualified under 10 NCAC 
268 .0124(e)(4) shall have aU their 
charts reviewed and signed by a such 
a supervisor, 
(d) Supervisor Qualification. An HIV case 
management supervisor shall meet the following 
qualifications: 

(1) Have a master's level degree in a 
human service area including, but not 
limited to. Social Work. Sociology. 
Child Development. Maternal and Child 
Health. Counseling. Psychology or 
Nursing and one year of experience jn 
case management; or 

(2) Have a bachelor's degree in a human 
service including, but not limited to. 
Social Work. Sociology, Child 

Maternal 



Development, 
Health. Counseling. 



and Child 

Psychology or 
Nursing and two years experience m 
case management, 
(e) Case Manager Qualifications. HIV case 
managers shall meet the following qualifications: 

(1) Have a master's degree in a human 
service area including, but not limited 
to. Social Work. Sociology. Child 
Development. Matern al and Child 
Health. Counseling. Psychology or 
Nursing; or 

(2) Have a bachelor's level degree in a 
human service area including, but not 
limited to. Social Work. Sociology. 
Child Development. Maternal and Child 
Health, Counseling, Psychology or 
Nursing and two years experience 
working in human services; or 

(3) Be a licensed Registered Nurse. Nurse 
Practitioner. Physician Assistant or 
Certified Substance Abuse Counselor 
with two years ex perience working in 
human services. 

(4) Have a high school diploma and two 
years experience providing HIV case 
management. A person who qualifies 
under 10 NCAC 268 .0124 (e)(4) may 
serve as an HIV case manager for five 
years from date of employment as an 
HIV case manager in an agency 



certified to provide HIV case 
management ^ If an agency is not a 
certified HIV case management 
provider at the time of the person's 
employment a^ an HIV case manager, 
the five year time period begins with 
the agency's certification date. After 
the five year period ends, the person 
must meet HIV case manager 
requirements defined in 10 NCAC 268 
.0124 (c)(1). (2), or £3J in order to 
continue to providing HIV case 
management services 
(5) HIV case manages shall attend, at least 
annually, training sessions approved by 
the AIDS Care Branch. Division of 
Adult Health Promotion. Department of 
Environment. Health and Natural 
Resources. 

Authority G.S. W8A-25(h); 108A-54; 42 C.F.R. 
440.169; Social Security Act 1915(b). 

SUBCHAPTER 26H - REIMBURSEMENT 
PLANS 

SECTION .0500 - REIMBURSEMENT 
FOR SERVICES 

.0511 CASE MANAGEMENT SERVICES 

Medicaid reimbursement for HIV case 

management providers shall be the same per unit 
rate (one unit ^ fifteen minutes) for all providers 
and shall be determined annually by the Division 
of Medical Assistance. This reimbursement 
limitation shall become effective in accordance 
with the provisions of G.S. 108A-55 (c). 

Statutory Authority G.S 108A-25(b); 108A'54; 
1915 (g) of the Social Security Act. 

SUBCHAPTER 261 - PROCEDURAL RULES 

SECTION .0300 - HEARINGS: 
TRANSFER AND DISCHARGES 

.0301 DEFINITIONS 

The following definitions shall apply throughout 
this Subchapter: 

(1) "Division"means the North Carolina 
Division of Medical Assistance of the 
Department of Human Resources. 

(2) "Hearing Officer" means the person 
designated to preside over hearings 
between a resident and a nursing facility 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1944 



PROPOSED RULES 



15} 



provider regarding transfers and 

discharges. 

"Hearing Unit" means the Chief Hearing 

Officer and his staff in the Division of 

Medical Assistance. Department of 

Human Resources. 

"Notice of Transfer and Discharge form" 



i6) 



means the form developed by the 

Division. 

"Request for Hearing" means a clear 

expression, in exiting by the resident or 

family member or legal representati\'e of 

the resident, that the resident wants to 

appeal the facility's decision to transfer 

or discharge. 

The "Request for Hearing form" means 

the form developed by the Division. 



Aurhorin G.S. W8A-25(h): 42 USCS 1396r(e)(3), 
(f)(3): 42 C.F.R. 483.5: 42 C.ER. 483.12: 42 
C.ER. 483.202: 42 C.ER. 483.206. 

.0302 TR\N'SFER AND DISCRARGE 
REQUIREMENTS 

(a) A resident and, if kno\'>n. a family member 
or legal representati\e of the resident, shall be 
notified in N^xiting of a facility's decision to 
transfer or discharge the resident. The Notice of 
Transfer or Discharge form shall be used by a 
facility v^'hen gi\'ing notice of a transfer or 
discharge. 

(b) Failure to complete the Notice of Transfer or 
Discharge form shall result m the notice of the 
transfer or discharge being ineffective. 

(c) The resident shall be handed the Notice of 
Transfer or Discharge form on the same day that 
it is dated . 

of the notice of Transfer or 



idi 



A copy 



Discharge form shall be mailed to the family 
member or legal representative on the same day 
that jt is dated. 

(e) The facility shall provide a Request for 
Hearing Form to the resident and family member 
or legal representati\'e simultaneously with the 
Notice of Transfer or Discharge form. 

Authority G.S. 108A-25(b): 42 USCS 1396r(e)(3), 
(f)(3): 42 C.ER. 483.5: 42 C.ER. 483.12: 42 
C.ER. 483.202: 42 C.ER. 483.206. 

.0303 INITL\TDSG A HEARING 

(a) in order to initiate an appeal of a facility's 
intent to transfer or discharge, a resident or family 
member or legal representati\e shall submit a 
written request for a hearing to the Hearing Unit. 



The request for hearing must be received by the 
Hearing Unit within eleven (1 1) calendar days 
from the date of the facility's notice of transfer or 
discharge. If the eleventh day falls on a Saturday. 
Sunday or legal holiday, then the period during 
which an appeal may be requested shall run until 
the end of the next day which is not a Saturday. 
Sunday or legal holiday. 

(b| The request for hearing shall be submitted to 
the Hearing Unit by mail, or facsimile, or hand 
deli\'ery. 

Authority G.S. 108A-25(b): 42 USCS 1396r (e)(3), 
(f)(3): 42 C.ER. 483.12. 

.0304 HEARING PROCEDURES 

(a) Upon timely receipt of a request for a 
hearing, the Hearing Unit shall promptly notify the 
facility of _the request. 

(b) The parties shall be notified by certified mail 
of the date, time and place of the hearing. If the 
hearing is to be conducted In person, h shall be 
held in Raleigh. North Carolina. 

(c) At least five working days prior to the 
hearing, the facility administrator shall make 
available to tlie resident all documents and records 
to be used at the hearing. The facility 
administrator shall forward identical information to 
the Hearing Unit, to be received at least five 
working days prior to the hearing. 

(d) The hearing officer may grant continuances 
for good cause. 

(e) The hearing officer may dismiss a request 
for hearing if ihe resident or family member or 
legal representati\'e of tiie resident fails to appear 
at a scheduled hearing without good cause. 

(f) The hearing officer may proceed to conduct 
a scheduled hearing if a facility representative fails 
to appear at a scheduled hearing without good 
cause. 

(g) The Rules of Civil Procedures as contained 
in G.S. 1 A-1 and the General Rules of Practice for 
the Superior and District Courts as authorized by 
G.S. 7A-34 and found in tlie Rules Volume of the 
North Carolina General Statutes shall not apply fn 
any hearings held by a Division Hearing Officer 
unless another specific statue or rule provides 
otherwise. Disision hearings are not hearings 
within the meaning of G.S. 150B and shall not be 
goN'erned by the provisions of that Chapter unless 
otherwise stated [n these Rules. Parties may be 
represented by counsel at the hearing. 

Authority G.G. 108A-25(b): G.S 150B-25(a); 42 
USCS I396r(c)(3). (f)(3): 42 C.ER. 483.12. 



1945 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



.0305 HEARING OFFICER'S 
FINAL DECISION 

The Hearing Officer's final decision shall uphold 
or reverse the facility's decision. Copies of the 
final decision shall be mailed via certified mail to 
the parties. 

Authority G.S. 108A-25(b); 42 USCS 1396r(e)(3), 
(f)(3): 42 C.F.R. 483.12. 

TITLE 11 - DEPARTMENT 
OF INSURANCE 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the N. C. Department of Insurance 
intends to repeal rules cited as 11 NCAC IIB 
.0112. .0138; lie .0120; IID .0102 - .0103. 

1 he proposed effective date of this action is April 
1. 1994. 

1 he public hearing will he conducted at 10:00 
a.m. on February 2, 1994 at the Dobbs Building, 
3rd Floor Hearing Room, 430 N. Salisbury Street, 
Raleigh, N.C. 27611. 



of its business hag been assumed by a 
solvent company licensed to do busines s 
in North Carolina and approved by the 
Commissioner; 

0) Certified affidavit from the withdrawing 

company indicating the amount and the 
type of ri s k s to be taken by the assuming 
company; and executed on form dosignat 
ed as 11 NCAC llA .0 4 89; 

{A) Receipt of appropriate "Annual Statement 

Blank" of the withdrawing company for 
calendar year ending — after withdrawal 
date, including the North Carolina busi 
ncss page; 

{§) Expiration of a minimum of three years 

after date of withdrawal; and 

(6) The Commis s ioner find s that return of 

the deposit is appropriate. 
No con s ideration will be given to the return of 
deposits if Q withdrawing company has its North 
Carolina — business — assumed — by — sfl — unlicen s ed 
company until the Commi s sioner has determined to 
bis satisfaction that its liabilitie s , whether fixed or 
contingent upon its contracts to persons residing in 
this state or having policies upon property situated 
in this state, have been satisfied or have been 
terminated. 



Jxeason for Proposed Action: Rules unnecessary 
due to statute changes. 

(comment Procedures: W- it ten comments may be 
sent to Ray Martinez at P.O. Box 26387, Raleigh, 
NC 27611. Oral presentations may be made at the 
public hearing. Anyone having questions should 
call Ray Martinez at (919) 733-5633 or Ellen 
Sprenkel at (919) 733-4529. 



CHAPTER 11 



FINANCIAL EVALUATION 
DIVISION 



Statutory Authority G.S 58-9(1); 58-187. 

.0138 TYPES OF SECURITIES ELIGIBLE 
FOR DEPOSIT 

Statutory or Administrative Depo s it s of Securitie s 
must be comprised of Treasury Bonds or Notes of 
the United State s of America, bond s of the State of 
North Carolina or any of ita counties or municipal 
ities or certificates of deposit of building and loan 
associations and banks situated in the State of 
North — Carolina — regi s tered — as — required — hf — the 
Master Trust Bank. See also 1 1 NCAC IIB .0102 
and .0103. 



SUBCHAPTER IIB - SPECIAL PROGRAMS 

SECTION .0100 - SECURITIES 

.0112 RETURN OF SECURITIES ON 
DEPOSIT 

Any — company — pr e viou s ly — licens e d — ifl — North 
Carolina will have its d e posit r e turned wh e n all of 
the following conditions have b e en m e t: 

(+^ Written r e qu e st from — company asking 

that its deposit be return e d; 

{5^ Certified copie s of the asGumption and 

r e in s urance agreement indicating that all 



Statutory Authority G.S. 58-7.5; 58-9. 

SUBCHAPTER IIC - ANALYSIS AND 
EXAMINATIONS 

SECTION .0100 - GENERAL PROVISIONS 

.0120 VALUATION OF INVESTMENTS: 
VALUATIONS OF SECURITIES 

MANUAL 
Except as they may conflict with a valuation 
basis specifically authorized by the in s urance law s 
of North Carolina, the inve s tment s in s ecurities by 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1946 



PROPOSED RULES 



insurance companies shall be valued in accordance 
with the procedures and instruction s contained in 
the Valuations of Securities Manual, in the form 
described by 11 NCAC llA .0 4 88. which is 
prepared annually by the securities x'aluation office 
of the National j\ssociation of Insurance Commis 
sioners and as may be amended or revised from 
time to time by the National ;\ssociation of Insur 
ance Commissioners. 

Statuton- Authority- G.S. 58-9: 58-79; 58-79. 1. 

SUBCHAPTER IID - PROX\: 
LIQUIDATION AND MERGER 

SECTION .0100 - CENTRAL PROVISIONS 

.0102 REVOCATION OR SUSPENSION OF 
LICENSE: FOREIGN EVSURANCE 

Upon receipt of notification from the Commi s 
sioner of Insurance of the domiciliary state that a 
foreign insurance company licen s ed in thi s s tate 
has been placed in rehabilitation or conservatorship 
or for any other rea s on has been required to cease 
the v\Titing of new business, the Commissioner 
shall revoke or suspend the license of subject 
company and cau s e publication of notice of rcvo 
cation — or suspen s ion in — tfee — manner and form 
prescribed by 11 NCAC IID .0103 and 11 NCAC 
1 1 A .0 4 56. respecti\'ely. 

Statutory Authority G.S. 58-37. 

.0103 PL^LICATION OF NOTICE OF 
REVOCATION OR SUSPENSION 

Publication of the notice of revocation or suspen 
s ion of the licen s e of a foreign in s urance company 
shall be made in the form designated as 1 1 NCAC 
1 1 . ' X .0 4 56 and shall be publi s hed at least once in 
the major morning newspapers in the Cities of 
Wilmington. Raleigh. Green s boro. Charlotte and 
Ashe\'ille. North Carolina. 

Statutory- Authority- G.S. 58-37. 



>fi'^'^>fi^>/^'>fi>i^>fi>^ 



>fi >fi >fi 



iSotice is hereby given in accordance with G.S. 
150B-21.2 that the N.C. Department of Insurance 
intends to adopt rule cited as 11 NCAC IIC 
.0133. 

1 he proposed effective date of this action is April 



1, 1994. 

1 he public hearing will be conducted at 10:00 
a.m. on February 2, 1994 at the Dobbs Building, 
3rd Floor Hearing Room, 430 N. Salisbury Street, 
Raleigh, NC 27611. 

IVeason for Proposed Action: To establish ac- 
counting standards and examples for reinsurance 
transactions between licensed life and health 
insurance companies and reinsurance companies. 

Lyomment Procedures: Witten cormnents may be 
sent to Ray Martinez at RO. Box 26387, Raleigh, 
NC 2 761 1 . Oral presentations may be made at the 
public hearing. Anyone having questions should 
call Ray Martinez at (919) 733-5633 or Ellen 
Sprenkel at (919) 733-4529. 

hiditor's Note: This Rule has been filed as a 
temporary adoption effective January 21, 1994 
for a period of 180 days or until the permanent 
rule becomes effective, whichever is sooner. 



CHAPTER 11 



FINANCIAL EVALUATION 
DIVISION 



SL^CIL\PTER lie - ANALYSIS AND 
EXAMINATIONS 

SECTION .0100 - GENTIL\L PROVISIONS 

.0133 ACCOL^NTEVG FOR LIFE AND 
HEALTH REINSURANCE 
AGREEMENTS 

When an insurer cedes business applicable to 

G.S. 58-7-31(d)( 1 ). the insurer must account for 

the transaction in accordance with G.S. 

58-7-31(d)(2). For the purpose of this Rule, any 

increase in surplus shall be accounted for as 

illustrated in the following examples: 

( 1 ) on the last day of calendar year N. 

company XYZ pays a twenty million 

dollar (S20.000.000) initial commission 

and expense allowance to company ABC 

for reinsuring an existing block of 

business. Assuming a 34 percent tax 

rate, the next increase in surplus at 

inception js thirteen million tv,'o hundi^d 

thousand dollars ($13.200.000) [twenty 

million minus six million eight hundred 

thousand dollars ($20 million ; $6.8 



1947 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



million)] which is reported on the 
"Aggregate write-ins for gains and losses 
in surplus" line in the Capital and 
Surplus account. Six million eight 
hundred thousand dollars ($6.800.000) 
[34 percent of twenty million dollars 
($20.000.000)1 is reported as income on 
the "Commissions and expense 
allowances on reinsurance ceded " line of 
the Summary of Operations. 
At the end of year N + 1 the business has 



(2) At the end of 

earned four million dollars ($4.000.000). 
ABC has paid five hundred thousand 
dollars ($500.000) m profit and risk 
charges in arrears for the year and has 
received a one million dollar 
($1.000.000) experience refund. 



Company ABC's annual statement would 
report one million six hundred and fifty 
thousand dollars ($1.650,000) 1(66% of 
four million dollars ($4.000.000) : one 
million dollars ($1.000.000) ; five 
hundred thousand dollars ($500,000) up 
to a maximum of thirteen million two 
hundred thousand dollars ($13.200,000)1 
on the "Commissions and expense 
allowance on reinsurance ceded" line of 
the Summary of Operations, and ; one 
million six hundred and fifty thousand 



dollars ($1.650.000) on the "Aggregate 
write-ins for gains and losses in surplus" 
line of the Capital and Surplus account. 
The experience refund would be reported 
separately as a miscellaneous income 
item in the Summary of Operations. 

Statutory Authority G.S. 58-2-40: 58-7-31. 



l\otice is hereby given in accordance with G.S. 
150B-21.2 that the N.C. Department of Insurance 
intends to adopt rules cited as 1 1 NCAC 1 IF .0201 
- .0208. 

1 he proposed effective date of this action is April 
1, 1994. 

1 he public hearing will be conducted at 10:00 
a.m. on February 2, 1994 at the Dobbs Building, 
3rd Floor Hearing Room. 430 N. Salisbury Street, 
Raleigh, NC 27611. 



MXeason for Proposed Action: To establish mini- 
mum reserve standards for health insurance poli- 
cies in accordance with state law. 

i^omment Procedures: Written comments may be 
sent to Wilter James at P.O. Box 26387, Raleigh, 
NC 27611. Oral presentations may be made at the 
public hearing. Anyone having questions should 
call miter James at (919) 733-3284 or Ellen 
Sprenkel at (919) 733-4529. 

tLditor's Note: The following rules have been 
filed as temporary adoptions effective for a period 
of 180 days or until the permanent rule becomes 
effective, whichever is sooner: 
11 NCAC 11 F .0201 - .0206, .0208 - Eff. Janu- 
ary 21, 1994. 
11 NCAC IIF .0207 - Eff. January 1, 1994. 



CHAPTER 11 



FINANCIAL EVALUATION 
DIVISION 



SUBCHAPTER IIF - ACTUARIAL 

SECTION .0200 - HEALTH INSURANCE 
MINIMUM RESERVE STANDARDS 

.0201 DEFINITIONS 

As used in this Section and in the Statement of 
Actuarial Opinion required by the NAIC Annual 
Statement Instructions pursuant to G.S. 58-2-165: 

(1) "Annual claim cost" means the net annual 
cost per unit of benefit before the addi- 
tion of expenses, including claim settle- 
ment expenses, and a margin for profit or 
contingencies. For example, the annual 
claim cost for a one hundred dollar 
($100.00) monthly disability benefit, for 
a maximum disability benefit period of 
one year, with an elimination period of 
one week, with respect to a male at age 
35. in a certain occupation might be 
twelve dollars ($12.00), while the gross 
premium for this benefit might be 
eighteen dollars ($18.00). The additional 
six dollars ($6.00) would cover expenses 
and profit or contingencies. 

(2) "Claims accrued" means that portion of 
claims incurred on or before the 
valuation date that result ijn liability of 
the insurer for the payment of benefits 
for medical services that have been 
rendered on or before the valuation date. 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1948 



PROPOSED RULES 



and for the payment of benefits for days 
of hospitalization and days of disability 
that have occurred on or before the 
valuation date, that the insurer has not 
paid as of the valuation date, but for 
which it is liable, and will have to pay 
after the \aluation date. This liability is 
sometimes referred to as a liability for 
"accrued" benefits. A claim reser\e. 
which represents an estimate of this 
accrued claim liability. must be 
established. 



(3) "Claims reported" means when an insurer 
has been informed that a claim has been 
incurred, rf the date reported is on or 
before the valuation date, the claim is 
considered as a reported claim for annual 
statement purposes. 

(4) "Claims unaccrued" means that portion of 
claims incurred on or before the 
\'aluation date that result jji liability of 
the insurer for the payment of benefits 
for medical services expected to be 
rendered after the valuation date, and for 
benefits expected to be payable for days 
of hospitalization and days of disability 
occurring after the \aluation date. TTiis 
liability is sometimes referred to as a 
liability for "unaccrued" benefits. A 
claim reserve. v.'hich represents an 
estimate of the unaccrued claim payments 
expected to be made (that may or may 
not be discounted with interest), must be 
established. 

(5) "Claims unreported" means when an 
insurer has not been informed, on or 
before the \'aluation date, concerning a 
claim that has been incurred on or before 
the valuation date, the claim is 
considered as an unreported claim for 
annual statement purposes. 

(6) "Date of disablement" means the earliest 
date the insured js considered as being 
disabled under the definition of disability 
in the contract, based on a doctor's 
evaluation or other e\idence. Normally 
this date will coincide with the start of 
any elimination period. 

(7) "Elimination period" means a specified 
number of days, weeks, or months 
starting at the beginning of each period 
of loss, during which no benefits are 
payable. 

(8) "Gross premium" means the amount of 
premium charged by the insurer. ft 



includes the net premium (based on 
claim-cost) for the risk, together with any 
loading for expenses. profit or 
contingencies. 

(9) "Group insurance" means blanket 
insurance and franchise insurance and 
any other forms of group insurance. 

(10) "Level premium" means a premium 
calculated to remain unchanged 
throughout either the lifetime of the 
policy, or for some shorter projected 
period of years. The premium need not 
be guaranteed; in which case, although ft 
is calculated to remain level, it may be 
changed ff any of the assumptions on 
which ft v>'as based are revised at a later 
time. Generally, the annual claim costs 
are expected to increase each year and 
the insurer, instead of charging premiums 
that correspondingly increase each year, 
charges a premium calculated to remain 
level for a period of years or for the 
lifetime of the contract. In this case the 
benefit portion of the premium is more 
than needed to provide for the cost of 
benefits during the earlier years of the 
policy and less than the actual cost in the 
later years. The building of a 
prospective contract reserve is a natural 
result of level premiums. 

(1 1) "Long-term care insurance" has the same 
meaning as in G.S. 58-55-20(4); and also 
means a policy or certificate that provides 
for payment of benefits based upon 
cognitive impairment or the loss of 
functional capacity. 

(12) "Modal premium" means the premium 
paid on a contract based on a premium 
term that could be annual, semi-annual, 
quarterly, monthly, or weekly. Thus rf 
the annual premium fs one hundred 
dollars ($100.00) and if. instead, monthly 
premiums of nine dollars ($9.00) are paid 
then the modal premium is nine dollars 
($9.00). 

(13) "Negati\'e reser\'e" means a terminal 



reserve that has a value of less than zero 
resulting from benefits that decrease with 
adsancing age or duration. 
( 14) "Preliminary term reserve method" 
means the method of \aluation under 
which the valuation net premium for each 
\'ear falling within the preliminary' term 
period is exactly sufficient to co\er the 
expected incurred claims of that year, so 



1949 



8:20 



i\ORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



(151 



(16) 



M 



ib] 



(17) 



(18) 



that the terminal reserves will be zero at 
the end of the year. As of the end of the 
preliminary term period, a new constant 
valuation net premium (or stream of 
changing valuation premiums) becomes 
applicable such that the present value of 
all such premiums is equal to the present 
value of all claims expected to be 
incurred following the end of the 
preliminary term period. 
"Present value of amounts not ycX due on 
claims" means the reserve for claims 
unaccrued, which may be discounted at 
interest. 

means all items of benefit 
in 



"Reserve" 

liability, whether 



the nature of 



incurred claim liability or in the nature of 
contract liability relating to future periods 
of coverage, and whether the liability is 
accrued or unaccrued. An insurer under 
its contracts promises benefits that result 
in: 

Claims that have been incurred, that is. 

for which the insurer has become 



obligated to make 
before the valuation 



payment, on or 
date. On these 



claims, payments expected to be made 

after the valuation date for accrued and 

unaccrued benefits are liabilities of the 

insurer that should be provided for by 

establishing claim reserves; or 

Claims that are expected to be incurred 

after the valuation date. Any present 

liability of the insurer for these future 

claims should be provided for by the 

establishment of contract reserves and 

unearned premium reserves. 

"Terminal reserve" means the reserve at 

the end of a contract year, and js defined 

as the present value of benefits expected 

to be incurred after that contract year 

minus the present value of future 

valuation net premiums. 

"Unearned premium reserve" means the 

value of that portion of the premium paid 

or due to the insurer that is applicable to 

the period of coverage extending beyond 

the valuation date. Thus if an annual 

premium of one hundred twenty dollars 

($120.00) was paid on November L, 

twenty dollars ($20.00) would be earned 

as of December 31 and the remaining one 

hundred dollars ($100.00) would be 

unearned. The unearned premium 

reserve could be on a gross basis as in 



this example, or on a valuation net 
premium basis. 
(19) "Valuation net modal premium" means 
the modal fraction of the valuation net 
annual premium that corresponds to the 
gross modal premium m effect on any 
contract to which contract reserves apply. 
Thus if the mode of payment fn efl'ect ]s 
quarterly, the valuation net modal 
premium is the quarterly equivalent of 
the valuation net annual premium. 

Statutory Authority G.S. 58-2-40; 58-58-50(k). 

.0202 GENERAL 

(a) This Section applies to aU accident and 
health insurance coverages under G.S. 58. Articles 
50 through 55. 

(b) When an insurer determines that adequacy of 
its insurance reserves requires reserves in excess 
of the minimum standards specified in this Section, 
such increased reserves shall be held and shall be 
considered the minimum reserves for that insurer. 

(c) With respect to any block of contracts, or 
with respect to an insurer's accident and health 
business as a whole, a prospective gross premium 
valuation is the ultimate test of reserve adequacy 
as of a given valuation date. Such a gross 
premium valuation shall take into account, for 
contracts in force, m a claims status, or m a 
continuation of benefits status on the valuation 
date, the present value as of the valuation date of: 
all expected benefits unpaid, all expected expenses 
unpaid, and all unearned or expected premiums, 
adjusted for future premium increases reasonably 
expected to be 2III into effect. Such a gross 
premium valuation shall be performed whenever a 
significant doubt exists as to reserve adequacy with 
respect to any major block of contracts or with 
respect to the insurer's accident and health 
business as a whole. If inadequacy is found to 
exist, immediate loss recognition shall be made 
and the reserves restored to adequacy. Adequate 
reserves (inclusive of claim, premium, and 
contract reserves, if any) shall be held with respect 
to all contracts, regardless of whether contract 
reserves are required for such contracts under this 
Section. 

(d) Whenever minimum reserves, as specified in 
this Section, exceed reserve requirements as 
determined by a prospective gross premium 
valuation, such minimum reserves remain the 
minimum requirement under this Section. 

(e) Adequacy of an insurer's accident and health 
insurance reserves is to be determined on the basis 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1950 



PROPOSED RULES 



of claim reserves, premium reserves, and contract 
reserves, as required in il NCAC 1 IF .0203 
through il NCAC IIF .0205. combined. 
However, those rules are to emphasize the 
importance of determining appropriate reserves for 
each of those three reserve categories separately. 

Statutory Authority G.S. 58-2-40: 58-58-50(lc). 

.0203 CLAIM RESERVES 

(a) General: 

( 1) Claim reser\'es are required for all 
incurred but unpaid claims on all 
accident and health insurance contracts. 

(2) Appropriate claim expense reserves are 
required with respect to the estimated 
expense of settlement of aU incurred but 
unpaid claims. 

(3) All such reserves for prior valuation 
years are to be tested for adequacy and 
reasonableness along the lines of claim 
runoff schedules in accordance with the 
statutory financial statement including 
consideration of any residual unpaid 
liability. 

(b) Minimum Standards for Claim Reserves: 
(1) Disability Income: 

(A) The maximum interest rate for claim 
reserves is specified in U. NCAC I IF 
.0207. 

(B) Minimum standards with respect to 
morbidity are those specified in 1 1 
NCAC IIF .0207; except that, at the 
option of the insurer: 

(i) For claims with a duration from 
date of disablement of less than 
two years, reserves may be based 
on the insurer's experience, if 
such experience is considered 
credible. or upon other 
assumptions designed to place a 
sound value on the liabilities. 

(ii) For group disability income 
claims \\'ith a duration from date 
of disablement of more than two 
years but less than five years, 
reserves may, with the approval 
of the Commissioner, be based on 
the insurer's experience for which 
the insurer maintains underwriting 
and claim administration control. 



The request for such approval of 
a plan of modification to the 
reser\'e basis must include: 



(I) An analysis of the credibility 



of the experience; 

(II) A description of how all the 
insurer's experience [s 
proposed to be used in setting 
reserves; 

(III) A description and 
quantification of the margins to 
be included; 

(IV) A summary of the financial 
impact that the proposed plan 
of modification would have 
had on the insurer's last filed 
annual statement; and 

(V) A copy of the approval of the 
proposed plan of modification 
by the Commissioner of the 
state of domicile. 

(C) For contracts with an elimination 
period, the duration of disablement 
should be measured as dating from 
the time that benefits would have 
begun to accrue had there been no 
elimination period. 
(2) All Other Benefits: 

(A) The maximum interest rate for claim 
reserves is specified in jT NCAC IIF 
.0207. 

(B) The reserve, with respect to morbidity 
or other contingency, should be based 
on the insurer's experience, jf such 
experience is considered credible, or 
upon other assumptions designed to 
place a sound value on the liabilities. 

(c) Any generally accepted or reasonable 
actuarial method or combination of methods may 
be used to estimate all claim liabilities. The 
methods used for estimating liabilities generally 
may be aggregate methods; or various reserve 
items may be separately valued. Approximations 
based on groupings and averages may also be 
employed. Adequacy of the claim reserves, 
however, shall be determined in the aggregate. 

Statutory Authority G. S 58-2-40; 58-58-50(k). 

.0204 PREMIUM RESERVES 

(a) General: 

(1) Unearned premium reserves are 
required for all contracts with respect to 
the period of coverage for which 
premiums, other than premiums paid m 
advance, have been paid beyond the 
date of valuation. 

(2) If premiums due and unpaid are carried 
as an asset, such premiums must be 



1951 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



13) 



treated as premiums in force, subject to 
unearned prem i u m reserve 
determination. The value of unpaid 
commissions, premium taxes, and the 
cost of collection associated with due 
and unpaid premiums must be carried 
as an offsetting liability. 
The ^ross premiums paid ]n advance 
for a period of coverage commencing 
after the next premium due date that 
follows the date of valuation may be 
appropriately discounted to the 
valuation date and shall be held either 
as a separate liability or as an addition 
to the unearned premium reserve that 
would otherwise be required as a 
minimum. 



(b) Minimum Standards for Unearned Premium 
Reserves: 

(1) The minimum unearned premium 
reserve with respect to any contract is 
the pro rata unearned modal premium 
that applies to the premium period 
beyond the valuation date, with such 
premium determined on the basis of: 

(A) The valuation net modal premium on 
the contract reserve basis applying to 
the contract; or 

(B) The gross modal premium for the 
contract if no contract reserve applies. 

(2) However, in no event may the sum of 
the unearned premium and contract 
reserves for all contracts of the insurer 
subject to contract reserve re quirements 
be less than the gross modal unearned 
premium reserve on all such contracts. 
as of the date of valuation. Such 
reserve shall never be less than the 
expected claims for the period beyond 
the valuation date represented by such 
unearned premium reserve, to the 
extent not provided for elsewhere. 

(c) The insurer may employ suitable 
approximations and estimates, including groupings, 
averages, and aggregate estimation, in computing 
premium reserves. Such approximations or 
estimates shall be tested periodically to determine 
their continuing adequacy and reliability. 

Statutory Authority G. S. 58-2-40; 58-58-50(k). 

.0205 CONTRACT RESERVES 

(a) General: 
(1 ) Contract reserves are required, unless 
otherwise specified in H NCAC 1 IF 



.0205(a)(2) for: 

(A) All individual and group contracts 
with which level premiums are used; 
or 

(B) All individual and group contracts 
with respect to which, due to the 
gross premium pricing structure at 
issue, the value of the future benefits 
at any time exceeds the value of any 
appropriate future valuation net 
premiums at that time. The values 
specified in U NCAC IIF 
.0205(1 )(B) shall be determined on 
the basis specified in JJ. NCAC 1 IF 
.0205(b). 

(2) Contracts not requiring a contract 
r eserve are: 
Contracts that cannot be continued 
after one year from issue; or 
Contracts already in force on the 
effective date of these standards for 
which no contract reserve was 
required under the immediately 
preceding standards. 
The contract reserve is in addition to 
claim reserves and premium reserves. 
The methods and procedures for 
contract reserves shall be consistent 
with those for claim reserves for any 
contract, or else appropriate adjustment 
must be made when necessary to assure 
provision for the aggregate liability. 
The definition of the date of incurral 
must be the same i 



(A) 
IB] 



01 
14) 



both 



determinations. 



(b) Minimum Standards for Contract Reserves : 
[1} Basis: 

(A) Minimum standards with respect to 
morbidity are those set forth in 1 1 
NCAC IIF .0207. Valuation net 
premiums used under each contract 
must have a structure consistent with 
the gross premium structure at issue 
of the contract as this relates to 
advancing age of insured, contract 
duration and period for which gross 
premiums have been calculated. 
Contracts for which tabular morbidity 
standards are not specified in 1 1 
NCAC IIF .0207 shall be valued 
using tables established for reserve 
purposes by a qualified actuary and 
acceptable to the Commissioner. 

(B) The maximum interest rate is 
specified in 11 NCAC IIF .0207. 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1952 



PROPOSED RULES 



(C) Termination rates used in the 
computation of reserves shall be on 
the basis of a mortality table as 
specified in U NCAC IIF .0207 
except as noted in Subparts 
(bKl)(C)(i) and iiiJ of this Rule. 
Under contracts for which premium 
rates are not guaranteed, and where 
the effects of insurer underwriting are 
specifically used by contract duration 
in the valuation morbidity standard. 
or for return of premium or other 
deferred cash benefits, total 
termination rates may be used at ages 
and durations where these exceed 
specified mortality table rates, but not 
in excess of the lesser of: 

(j} Eighty percent of tlie total 
termination rate used in the 
calculation of the gross premiums. 
or 
(ii) Eight percent. 

Where a morbidity standard specified 
in ii NCAC IIP .0207 is on an 
aggregate basis. such morbidity 
standard may be adjusted to reflect 
the efl'ect of insurer underwriting by 
contract duration. The adjustments 
must be appropriate to the 
underwriting and be acceptable to the 
Commissioner. 

(D) Reserve Method: 
ill 



ihl 



fiii) 



For insurance except long-term 
care and return of premium or 
other deferred cash benefits, the 
minimum reserve is the reserve 
calculated on tlie two-year full 
preliminary term method; that is. 
under which the terminal reserve 
is zero at tlie first and also the 
second contract anniversary. 
For long-term care insurance, the 
minimum reserve is the reserve 
calculated on the one-year full 
preliminary term method. 
For return of premium or other 
deferred cash benefits. the 
minimum reserve is the reserve 
calculated as follows: 



m 



im 



On the one year preliminary 
term method if such benefits 
are provided at any time 
before the 20th anniversary; 
On tlie two year preliminary' 
term method if such benefits 



are only provided on or after 

the 20th anniversary. 

(iv) The preliminary term method may 

be applied only in relation to the 

date of issue of a contract. 

Reserve adjustments introduced 

later, as a result of rate increases. 

revisions in assumptions (e.g.. 

projected inflation rates) or for 

other reasons, are to be applied 

immediately as of the effective 

date of adoption of tlie adjusted 

basis. 

(E) Negative reserves on any benefit may 

be offset against positive reserves for 

other benefits in the same contract. 

but the total contract reserve with 

respect to all benefits combined may 

not be less than zero. 

(c) Provided the contract reserve on all contracts 

to which an alternative method or basis is applied 

is not less in tlie aggregate than the amount 

determined according to tlie applicable standards 

specified in this Rule; an insurer may use any 

reasonable assumptions as to interest rates. 

termination or mortality rates, and rates of 

morbidity or other contingency. Also, subject to 

the preceding condition, the insurer may employ 

methods other than the methods stated in this Rule 

in determining a sound value of its liabilities under 

such contracts, including, but not limited to the 

following: the net level premium method; the 

one-year full preliminary term method; prospective 

valuation on the basis of actual gross premiums 

with reasonable allowance for future expenses; the 

use of approximations such as those involving age 

groupings, groupings of several years of issue. 

average amounts of indemnity, grouping of similar 

contract forms; the computation of tlie reserve for 

one contract benefit as a percentage of^ or by other 

relation to. the aggregate contract reserves 

exclusive of Uie benefit or benefits so valued; and 

the use of a composite annual claim cost for all or 

any combination of the benefits included in the 

contracts valued. 



(d) Annually, an appropriate review shall be 
made of tlie insurer's prospective contract 
liabilities on contracts \alued by tabular reserves, 
to determine the continuing adequacy and 
reasonableness of ihe tabular reserves giving 
consideration to future gross premiums. The 
insurer shall make appropriate increments to such 
tabular reserves if such tests indicate that the basis 
of such reserves is no longer adequate; subject. 
however, to the minimum standards of 1 1 NCAC 



1953 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



IIF .0205fb). If an insurer has a contract or a 
group of related similar contracts, for which future 
gross premiums will be restricted by contract, 
insurance department regulations, or for other 
reasons, such that the future gross premiums 
reduced by expenses for administration, 
commissions, and taxes will be insufficient to 
cover future claims, the insurer shall establish 
contract reserves for such shortfall in the 
aggregate. 

Statutory^ Authority G.S. 58-2-40; 58-58-50(1). 

.0206 REINSURANCE 

Increases to, or credits against reserves carried, 
arising because of reinsurance assumed or 
reinsurance ceded, must be determined in a 
manner consistent with these minimum reserve 
standards and with all applicable provisions of the 
reinsurance contracts that affect the insurer's 
liabilities. 

Statutory Authority G.S. 58-2-40; 58-58-50(k). 

.0207 SPECIFIC STANDARDS FOR 
MORBIDITY, INTEREST AND 
MORTALITY 

(a) Minimum morbidity standards for valuation 
of specified individual contract accident and health 
insurance benefits are as follows: 

(1) Disability Income Benefits Due to 
Accident or Sickness. 
(A) Contract Reserves: 

(i) Contracts issued on or after 

January J_, 1965 and before 

January i, 1986: The 1964 

Commissioners Disability Table 

(64 CDT). 

(ii) Contracts issued on or after 

January L 1994: The 1985 

Commissioners Individual 

Disability Tables A (85C1DA); or 

The 1985 Commissioners 

Individual Disability Tables B 

(85CIDB). 

(iii) Contracts issued during the years 

1986 through 1993: 

Optional use of either the 1964 or the 

1985 Tables. 

(iv) Each insurer shall elect, with 

respect to all individual contracts 

issued in any one statement year, 

whether it will use Tables A or 

Tables B as the minimum 

standard. The insurer may. 



however, elect to use the other 
tables with respect to any 
subsequent statement year. 
(B) Claim Reserves: The minimum 
morbidity standard in effect for 
contract reserves on currently issued 
contracts, as of the date the claim is 
incurred. 
(2) Hospital Benefits, Surgical Benefits and 
Maternity Benefits (Scheduled benefits 
or fixed time period benefits only). 
(A) Contract Reserves : 

(i) Contracts issued on or after 
January _L 1955, and before 
The 



January L. 1982 

Intercompany 

Tables. 



1956 

Hospital-Surgical 



(ii) Contracts issued on or 
January i, 1982: The 



after 
1974 

Medical Expense Tables, Table 
A, Transactions of the Society of 
Actuaries, Volume XXX, pg. 63. 
Refer to the paper (in the same 
volume, pg. 9j to which this table 
is appended, including its 
discussions. for methods of 
adjustment for benefits not 
directly valued in Table A: 
of 



"Development 
Medical Expense 



the 1974 
Benefits," 



IB] 



13] 



lA] 



Houghton and Wolf. 
Claim Reserves: No specific 

standard. See U NCAC IIF 

.0207(a)(5). 
Cancer Expense Benefits (Scheduled 
benefits or fixed time period benefits 
only). 
Contract Reserves: Contracts issued 
on or after January 1. 1986: The 1985 
NAIC Cancer Claim Cost Tables. 



(B) Claim Reserves : 



standard. 



See 11 



No specific 
NCAC IIF 



.0207(a)(5). 
(4) Accidental Death Benefits. 

(A) Contract Reserves: Contracts issued 
on or after January 1. 1965: The 1959 
Accident Death Benefits Table. 

(B) Claim Reserves : Actual amount 
incurred. 



(5) Other Individual Contract Benefits. 

(A) Contract Reserves: For all other 
individual contract benefits, morbidity 
assumptions are to be determined as 
provided in the reserve standards. 

(B) Claim Reserves : For all benefits 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1954 



PROPOSED RULES 



other than disability, claim reserves 
are to be determined as provided in 
the standards, 
(b) Minimum morbidity standards for valuation 

of specified group contract accident and health 

insurance benefits are as follows: 

(1) Disability Income Benefits Due to 
Accident or Sickness. 

(A) Contract Reserves: 

(i) Contracts issued before January 1 , 
1994: The same basis, jf any, as 
that employed by the insurer as of 
January 1. 1994; 

(ii) Contracts issued on or after 
January L 1994: The 1987 
Commissioners Group Disability 
Income Table (87CGDT). 

(B) Claim Reserves : 

(i) For claims incurred on or after 
January i, 1994: The 1987 
Commissioners Group Disability 
Income Table (87CGDT); 

(ii) For claims incurred before 
January L^ 1994: Use of the 
87CGDT is optional. 

(2) Other Group Contract Benefits. 

(A) Contract Reser\es: For all other 
group contract benefits, morbidity 
assumptions are to be determined as 
provided m the reserve standards. 

(B) Claim Reserves : For all benefits 
other than disability, claim reserves 
are to be determined as provided in 
the standards. 

Maximum interest rate standards for 



valuation of accident and health insurance benefits 
are as follows: 
ill 



For contract reserves the maximum 
interest rate is the maximum rate 
permitted by law in the valuation of 
whole life insurance issued on the same 
date as the accident and health 
insurance contract. 



ID 



ill 



For claim reserves on contracts that 
require contract reserves, the maximum 
interest rate is the maximum rate 
permitted by law in the valuation of 
u'hoie life insurance issued on the same 
date as the claim incurral date. 
For claim reserves on contracts not 
requiring contract reserves. the 
maximum interest rate is^ the maximum 
rate permitted by law in the valuation 
of single premium immediate annuities 
issued on the same date as the claim 



incurral date, reduced by one hundred 
basis points, 
(d) Mortality standards for valuation of accident 
and health insurance benefits are as follows: 



m 



Except as provided for in \A NCAC 
IIF .Q207(d)(2). the mortality basis 
used shall be according to a table (but 
without use of selection factors) 
permitted by law for the valuation of 
whole life insurance issued on the same 
date as the accident and health 
insurance contract. 



121 



Other mortality tables adopted by the 
NAIC and promulgated by the 
Commissioner may be used in the 
calculation of the minimum reserves if 
appropriate for the type of benefits and 
if approved by the Commissioner The 
request for such approval must include 
the proposed mortality table and the 
reason that the standard specified m 1 1 
NCAC 1 1 F .0207(d)( 1 ) \s 
inappropriate. 



Statutory Authority- G.S. 58-2-40; 58-58-50(k). 

.0208 RESERVES FOR WAIVER OF 
PRE^^UM 

(a) Tabular reserves using the 1964 CDT. 1985 
CIDA or 1985 CIDB tables, i.e. disability 
valuation tables based on exposures that include 
contracts on premium waiver as in-force contracts, 
should value reserves on the following basis: 

(I) Claim reserves should include reserves 
for premiums ex pected to be waived, 
valuing as a minimum the valuation net 
premium being waived. 
Premium reserves should include 
contracts on premium waiver as 
in-force contracts. valuing as a 
minimum the unearned modal valuation 



121 



131 



net premium being waived. 
Contract reserves should 



include 



recognition of the wai\'er of premium 

benefit in addition to other contract 

benefits provided for, valuing as a 

minimum the valuation net premium to 

be waived. 

(b) If an insurer is. instead, valuing reserves on 

what is truly an active life table, or if a specific 

valuation table is not being used but the insurer's 

gross premiums are calculated on a basis that 

includes in the projected exposure only those 

contracts for v^hich premiums are being paid, then 

jt ma\' not be necessary' to pro\ide specifically for 



1955 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



waiver of premium reserves. Any insurer using 
such a true "active life" basis should carefully 
consider, however, whether or not additional 
liability should be recognized on account of premi- 
ums waived during periods of disability or during 
claim continuation. 

Statutory Authority G.S. 58-2-40: 58-58-50(lc). 



HCFA 1450 (UB 92), or a substantively similar, 
claim form. On and after January L, 1994, all 
claims submitted by noninstitutional health care 
providers to health benefit plans shall be submitted 
on the HCFA 1500, or a substantively similar, 
claim form . 

Statutory Authority G.S 58-2-40; 58-3-171. 



niotice is hereby given in accordance with G.S. 
150B-21.2 that the N.C. Department of Insurance 
intends to adopt rule cited as 11 NCAC 12 .0560. 

1 he proposed effective date of this action is April 
1. 1994. 

1 he public hearing will be conducted at 10:00 
a.m. on February 2, 1994 at the Dobbs Building, 
3rd Floor Hearing Room, 430 N. Salisbury Street, 
Raleigh. NC 27611. 

MXeason for Proposed Action: Prescribes Uniform 
Claim Forms that are submitted to health benefit 
plans for health care providers. 

i^onunent Procedures: Written comments may be 
sent to Rodney Finger at P.O. Bo.x 26387, Ra- 
leigh, NC 27611. Oral presentations may be made 
at the public hearing. Anyone having questions 
should call Rodney Finger at (919) 733-5060 or 
Ellen Sprenkel at (919) 733-4529. 

tLditor's Note: This Rule has been filed as a 
temporary adoption effective January 1, 1994 for 
a period of 180 days or until the permanent rule 
becomes effective, whichever is sooner. 

CHAPTER 12 - LIFE AND HEALTH 
DIVISION 

SECTION .0500 - ACCIDENT AND 
HEALTH: GENERAL NATURE 

.0560 UNIFORM CLAIM FORMS 

(a) As used in this Rule, "health benefit plan" 
has the same meaning as in G.S. 58-3-171(c). 

(b) On and after January L, 1994, all claims 
submitted by institutional health care providers to 
health benefit plans shall be submitted on the 



iSotice is hereby given in accordance with G.S. 
150B-21.2 that the N.C. Department cf Insurance 
intends to adopt rule cited as 11 NCAC 15 .0012. 

1 he proposed effective date of this action is April 
1. 1994. 

1 he public hearing will be conducted at 2:00 
p. m. on January 31 , 1994 at the Medical Database 
Commission, 112 Cox Avenue, Raleigh, NC 27611. 

MXeason for Proposed Action: Incorporates 
descriptions of successor claim forms by reference 
into the rules where necessitated by federal or 
state law or regulatory changes. 

i^omment Procedures: Written comments may be 
sent to Jim Hazelrigs at the Medical Database 
Comm., 112 Cox Avenue, Raleigh, NC 27605. 
Oral presentations may be made at the public 
hearing. Anyone having questions should call Jim 
Hazelrigs at (919) 733-7141 or Ellen Sprenkel at 
(919) 733-4529. 

tLditor's Note: This Rule has been filed as a 
temporary adoption effective January 1, 1994 for 
a period of 180 days or until the permanent rule 
becomes effective, whichever is sooner. 

CHAPTER 15 - MEDICAL DATABASE 
COMMISSION 

.0012 SUCCESSOR FORMS 

All references in this Section to claim forms, 
such as "HCFA 1500" and "UB-82", include 
references to their successor forms, such as 
"HCFA 1450" and "UB-92", that are developed 
pursuant to federal law under the auspices of 
HCFA, the National Uniform Billing Committee, 
or the North Carolina State Uniform Billing 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1956 



PROPOSED RULES 



Committet;. 

Statutory Authority G.S. 131E-212(h). 

TITLE 15A - DEPARTMEIVT OF 

ENVIRONMENT, HEALTH, AND 

NATURAL RESOURCES 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Wildlife Re- 
sources Commission intends to amend rules cited 
as ]5A NCAC 1 OF .0310. .0330. .0336 and adopt 
15A NCAC WF .0366. 

1 he proposed effective date of this action is April 
1. 1994. 

1 he public hearing will be conducted at 10:00 
a.m. on February 7, 1994 at the Archdale Build- 
ing. Room 332. 512 N. Salisbury Street, Raleigh, 
NC 27604-1188. 

Jxeason for Proposed Action: To establish a 
restricted speed zone on a designated body of 
water 

i^onunent Procedures: Interested persons may 
present their views either orally or in writing at 
the hearing. In addition, the record of hearing 
will be open for receipt of written comments from 
January 14. 1994 to February 14. 1994. Such 
written conmients must be delivered or mailed to 
the N.C. Wildlife Resources Commission. 512 N. 
Salisbury Street . Raleigh. NC 27604-1 188. 

CHAPTER 10 - WILDLIFE 
RESOURCES AND WATER SAFETY 

SUBCHAPTER lOF - MOTORBOATS 
AND WATER SAFETY 

SECTION .0300 - LOCAL WATER 
SAFETY REGULATIONS 

.0310 DARE COUNTY 

(a) Regulated Areas. This Rule applies to the 
following waters and portions of waters: 

(1) Manteo. Doughs Creek adjacent to 
Shallowbag Bay and all canals situated 
within the territorial limits of the Town 
of Manteo. 

(2) Hatteras. The waters of Hatteras Har- 



bor and Muddy Creek bounded on the 
north and south by the high-water 
mark, on the west by a straight line 
between channel markers number 20 
and 17, and on the east by the mouth of 
Muddy Creek at Sandy Bay; 

(3) Mann's Harbor. The waters of Ferry 
Dock Road Canal; 

(4) Nags Head 

(A) Those waters contained within the 
canals of Old Nags Head Cove Devel- 
opment; 

(B) The Roanoke Sound inlets at Pond 
Island on either side of Marina Drive 
extending north from US 64-264; 

(5) Wanchese. 

(A) The waters of Wanchese Harbor; 

(B) The Canal from its beginning where it 
connects with the Roanoke Sound 
south of the dead end road SR 1141 
extending northwest roughly parallel 
to SR 1141 and SR 1142, then west- 
ward roughly parallel to NC 345, and 
finally curving to the southwest 
roughly parallel to the C.B. Daniels 
Road to its end. 

(6) Stumpy Point Canal. That portion of 
Stumpy Point Canal beginning at the 
Wildlife Resources Commission boating 
access area and extending inland for a 
distance of 3,600 feet: 

(7) Stumpy Point Basin. That portion of 
the Stumpy Point Basin, at the head of 
the Stumpy Point Bay, which is next to 
Highway 264 in the dock area and 
designated by the appropriate markers. 

(8) Town of Southern Shores. The waters 
contained in the canals and lagoons 
within the territorial limits of the Town 
of Southern Shores: 

(9) Colington Harbour. The waters 
contained in the canals of Colington 
Harbour; 

(10) Kitty Hawk. Those w^aters contained in 
the canals of Kitty Hawk Landing 
Subdivision. 

(11) Washington Baum Bridge. Those 
waters of the Roanoke Sound from 
marker 24B north of the bridge to 
marker 24A south of the bridge, and 50 
yards east of the navigation span west 
to the shore as designated by the 
appropriate markers. 

(b) Speed Limit. No person shall operate any 
motorboat or vessel at greater than no-wake speed 



1957 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



within any of the regulated areas described in 
Paragraph (a) of this Rule. 

(c) Placement and Maintenance of Markers. 
Subject to the approval of the United States Coast 
Guard and the United States Army Corps of 
Engineers, the following agencies are designated 
suitable agencies for placement and maintenance of 
markers implementing this Rule as to the regulated 
areas listed in the several Subparagraphs of 
Paragraph (a) of this Rule: 

(1) the Board of Commissioners of the 
Town of Manteo as to the areas 
indicated in Subparagraph (1); 
the Board of Commissioners of Dare 
County as to the areas indicated in 
Subparagraphs (2) through (7)^ and (9) 
and (11) ; 

the Board of Commissioners of the 
Town of Southern Shores as to the 
areas indicated in Subparagraph (8); 
the Board of Commissioners of the 



(2) 



(3) 



14] 



Town of Kitty Hawk as to the areas 
indicated in Subparagraph (a)(10). 



Statutory Authority G.S. 75A-3; 75A-15. 

.0330 CARTERET COUNTY 

(a) Regulated Areas. This Rule applies to the 
following waters in Carteret County: 

(1) the waters of Money Island Slough 
beginning at the east end of Money 
Island near the Anchorage Marina Basin 
and ending at the west end of Money 
Island where Brooks Avenue deadends 
at the slough; 

(2) the waters of Taylor Creek located 
within the territorial limits of the Town 
of Beaufort; 

(3) the waters of Pelletier Creek beginning 
at the entrance to Pelletier Creek at the 
Intracoastal Waterway and ending at 
U.S. Highway 70; 

(4) the waters of Bogue Sound in Morehead 
City between Sugar Loaf Island and the 
seawall on the south side of Evans, 
Shepard and Shackleford Streets and 
bounded on the east by the State Ports 
Authority and on the west by the 
eastern right-of-way margin of South 
13th Street extended; 

(5) the waters of Gallant's Channel from 
the US 70 crossing over the Grayden 
Paul bridge to Taylor's Creek; 

(6) the waters of Cedar Island Bay and 
Harbor from U.S. 70 to Cedar Island 



Bay Channel Light 8; 

(7) the waters of Radio Island Creekr; 

(8) the waters of Spooners Creek beginning 
100 feet south of the bulkhead area in 
the entrance to Spooners Creek and 
extending approximately 500 feet up 
Spooners Creek to a point on the north 
side of the first fork to the east as 
indicated by the appropriate markers. 

(b) Speed Limit. It is unlawful to operate a 
motorboat or vessel at a speed greater than 
no-wake speed while on the waters of the regulated 
areas designated in Paragraph (a) of this Rule. 

(c) Placement and Maintenance of Markers. 
The Board of Commissioners of Carteret County, 
with respect to the regulated areas designated in 
Subparagraphs (1), (3), (5), (6)^ (7^ and (7) (S) of 
Paragraph (a) of this Rule, and the Board of 
Commissioners of the Town of Beaufort, with 
respect to the regulated area designated in 
Subparagraph (2) of Paragraph (a) of this Rule, 
and the Board of Commissioners of Morehead 
City, with respect to Subparagraph (4) of 
Paragraph (a) of this Rule, are designated as 
suitable agencies for placement and maintenance of 
the markers implementing this Rule, subject to the 
approval of the United States Coast Guard and the 
United States Army Corps of Engineers. 

Statutory Authority G.S. 75A-3; 75A-15. 

.0336 NORTHAMPTON AND 
WARREN COUNTIES 

(a) Regulated Area. This Rule applies only to 
that portion of Lake Gaston which lies within the 
boundaries of Northampton and Warren Counties 
County . 

(b) Speed Limit in Mooring Areas. No person 
shall operate a vessel at greater than no-wake 
speed while within a marked mooring area 
established with the approval of the Executive 
Director, or his representative, on the waters of 
Gaston Lake in Northampton and Warren Counties 
County . 

(c) Speed Limit Near Shore Facilities. No 
person shall operate a vessel at greater than no- 
wake speed within 50 yards of any marked boat 
launching area, dock, pier, bridge, marina, boat 
storage structure, or boat service area on the 
waters of the regulated areas described in 
Paragraph (a) of this Rule. 

(d) Restricted Swimming Areas. No person 
operating or responsible for the operation of a 
vessel shall permit it to enter any marked public 
swimming area established with the approval of the 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1958 



PROPOSED RULES 



Executive Director, or iiis representati\'e, on the 
waters of Gaston Lake in Northampton and 
Warren Counties County . 

(e) Placement and Maintenance of Markers. 
The Board of Commissioners of Northampton 
County and Warren County ts are designated a as 
suitable agency agencies for placement and 
maintenance of the markers implementing this 
Rule, subject to the appro\'al of the United States 
Coast Guard and United States Army Corps of 
Engineers. With regard to marking Gaston Lake, 
all of the supplementary standards listed in Rule 
.0301(g) of this Section shall apply. 

Statutory Authority G. S. 75A-3; 75A-15. 

.0366 MACON COUNTi' 

(a) Regulated Area. This Rule applies to the 
following waters of Natahala Lake: that area 
within 50 yards of the Lakes End Boat Dock. 

(b) Speed Limit. No person shall operate a 
vessel at greater than no-v.ake speed in the waters 
of the regulated area specified in Paragraph (a) of 
this Rule. 

(c) Placement and Maintenance of ^Markers. 
The Board of Commissioners of Macon County is 
designated a suitable agency for placement and 
maintenance of the markers implementing this 
Rule. 

Statutory- Authority' G. S. 75A-3: 75A-15. 



>f >f if if i^ >f ^ 



^^^^c^:^;;::*;:^:^:-; 



iS otice is hereby given in accordance with G.S. 
150B-2I.2 that the North Carolina Wildlife Re- 
sources Commission intends to amend rule cited as 
15A NCAC 101 .0001. 

1 he proposed effective date of this action is May 
1. 1994. 

1 he public hearings will be conducted at: 

7:00 p.m. 

February 7, 1994 

Ashexille 

Buncombe Count}- Courthouse 

60 Court Plaza 

Room 1 , 7th Floor 

Asheville. NC 

7:00 p.m. 



February 8, 1994 

Winston-Salem 

Forsyth County 

Agricultural Center 

1450 Fairchild Drive 

Winston-Salem, NC 

7:00 p.m. 
February 10. 1994 

Raleigh 

Archdale Building 

Ground Floor Hearing Room 

512 Salisbury Street 

Raleigh. NC 

7:00 p.m. 

February 14, 1994 

Wilmington 

New Hanover Counts- Courthouse 

316 Princess Street 

Wilmington , NC 

Ixeason for Proposed Action: To establish defini- 
tions and criteria for critical habitat. 

(comment Procedures: Interested persons ma\ 
present their \iews either orally or in writing at 
the hearing. In addition, the record of hearing 
will he open for receipt of written comments from 
January- 14. 1994 to February- 25. 1994. Such 
written comments must be delivered or mailed to 
the N.C. Wildlife Resources Commission, 512 N. 
Salisbury- Street. Raleigh. NC 27604-1 188. 

SUBCHAPTER 101 - ENDANGERED 
AND THREATENTD SPECIES 

.0001 DEFINITIONS 

For the purposes of this Subchapter, the follow- 
ing definition shall apply: 

(1) "Species" means any ta.xonomic grouping 
of wildlife the adult members of which 
interbreed and reproduce their kind; 

(2) "Critical habitat" means any habitat 
v'.'hich is considered essential to the con- 
servation of an endangered or threatened 
wildlife species as listed in Rules .0003 
and .0004 of this Subchapter. 

fa) Critical habitats are recommended for 
Commission adoption by the Nongame 
Wildlife Ad\ison,' Committee based on 
the best available scientific evidence^ 

(b) Critical habitats shall include those 



1959 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



Ic} 



Id} 



areas within the geographical area 
occupied by the species, on which are 
found those physical or biological 
features which are essential to the 
conservation of the species and which 
may require special management con- 
siderations or protection; and shall also 
include specific areas outside the geo- 
graphical area occupied by the species 
that are determined to be essential to 
the conservation of the species and 
which may require special management 
considerations or protection. 
Critical habitat shall not include the 
entire geographical area which can be 
occupied by the threatened or endan- 
gered species unless the management 
and protection of this area has been 
determined to be essential to the conser- 
vation of the species. 
Critical habitat designations shall be 
listed in Rule .0006 of this Subchapter 
and may be used by the North Carolina 
Environmental Management Commis- 
sion in classifying and assigning stan- 
dards of water quality under 15A 
NCAC 2B .0101. 



Statutory Authority G.S. 113-132; 113-134; 113- 
333; 143-239. 

TITLE 21 - OCCUPATIONAL 
LICENSING BOARDS 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina State Board of 
Dental Examiners intends to amend rules cited as 
21 NCAC 16F .0002 - .0005, .0007 - .0008. 
.0010; adopt 161 .0002 - .0004, .0006; 16R .0001 
- .0005; 16S .0101 - .0102 and .0201 - .0205. 
Tlie following rules are being recodified: 21 
NCAC 161 .0002 to .0005; 21 NCAC 161 .0003 to 
.0007; 21 NCAC 161 .0004 to .0008. and 21 
NCAC 161 . 0005 to . 0009. 

1 he proposed effective date of this action is April 
1, 1994. 

1 he public hearing will he conducted at 2:00 
p.m. cm February 18, 1994 at the Office of the 
North Carolina State Board of Dental Examiners, 
Chatham Building of the Roger Executive Center, 
3716 National Drive, Suite 221, Raleigh, North 



Carolina. 

Keason for Proposed Action: 
21 NCAC 16F .0002 - To require applicants for 
certification that all managers and members of a 
professional limited liability company are licensed 
to practice dentistry to submit certain information. 
21 NCAC 16F .0003 - To require that limited 
liability company designations shall consist only of 
the words "Professional Limited Liability Compa- 
ny", or "PL.L.C. ". 

21 NCAC 16F .0004 - To require that applications 
for a certificate of registration of a PL.L.C he 
accompanied by a certified copy of the articles of 
organizjation. 

21 NCAC 16F .0005 - To require that a limited 
liability company submit its application for renewal 
at least twenty days prior to the date of expiration 
of the certificate. 

21 NCAC 16F .0007 - To require that amendments 
to articles of organization be forwarded to the 
Board's office within ten days after filing. 
21 NCAC 16F .0008 - To prohibit limited liability 
companies from employing in clinical positions 
nwre than two dental hygienists at the same time 
for each dentist actively engaged in the practice of 
dentistry. 

21 NCAC 16F .0010 - To require that all required 
documents submitted to the Board by a limited 
liability company be attested to by the managers of 
the limited liability company and duly acknowl- 
edged before a notary public or some other officer 
qualified to administer oaths. 

21 NCAC 161 .0002 - To require that as a condi- 
tion of license renewal, each dental hygienist must 
complete a minimum of six clock hours of continu- 
ing education courses per calendar year. 
21 NCAC 161 .0003 - To require that continuing 
education courses must be directly related to 
patient care or patient safety and to set out ap- 
proved ccmtinuing education course sponsors. 
21 NCAC 161 .0004 - To set out requirements for 
the reporting of continuing education and to 
require that all records, reports and certificates 
relative to continuing education credit hours must 
be maintained by the licensee for at least three 
years. 

21 NCAC 161 .0006 - To set out the penalty for 
non-compliance with continuing education require- 
ment. 

21 NCAC 16R .0001 - To require that as a condi- 
tion of license renenal, every dentist must com- 
plete a minimum of fifteen clock hours of continu- 
ing education courses per calendar year 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



I960 



PROPOSED RULES 



21 NCAC 16R .0002 - To require that continuing 
education courses must he directly related to 
patient care or patient safety and to set out ap- 
proved continuing education course sponsors. 
21 NCAC 16R .0003 - To set out requirements for 
the reporting (f continuing education and to 
require that all records, reports and certificates 
relative to continuing education credit hours must 
he maintained hy the licensee for at least three 
years. 

21 NCAC 16R .0004 - To set out the penalty for 
non-compliance with the continuing education 
requirement. 

21 NCAC 16R .0005 - To allow exemptions from 
continuing education requirements for dentists that 
are retired from the practice of dentistry. 
21 NCAC 16S .0101 - To define certain terms of 
the Caring Dentist Program. 

21 NCAC 16S .0102 - To require the Board to 
enter into agreements to establish the Caring 
Dentist Program and to set out the requirements of 
such agreements. 

21 NCAC 168 .0201 - To set out the sources of 
receipt of information concerning suspected im- 
pairment and how this information shall be used. 
21 NCAC 165 .0202 - To require that information 
received hy the program must remain confidential 
but that infornwtion received as a result of a 
Board referral shall be freely exchanged with the 
Board or its authorized agents. 
21 NCAC 16S .0203 - To set out guidelines for 
intervention and referral and to require that 
information about any dentist licensed by the 
Board shall be reported to the Board if certain 
determinations are made. 

21 NCAC 16S .0204 - To require that a treatment 
source or facility receiving referrals from the 
program must be continually monitored to deter- 
mine its ability to provide certain services. 
21 NCAC 16S .0205 - To set out requirements for 
monitoring rehabilitation and perfortyuince after 
treatment. 

(comment Procedures: Any person desiring to 
present oral data, views, or arguments on the 
proposed rules must, at least ten (JO) days prior to 
the proposed hearing, file a notice with the Board. 
Notice of such request to appear or failure to give 
timely notice may be waived by the Board in its 
discretion. Comments should be limited to five 
minutes. .Any person permitted to make an oral 
presentation is directed to submit a written state- 
ment of such presentation to the Board prior to or 
at the time of such hearing. Tlie Board's address 



is Post Office Box 32270, Raleigh. North Carolina 
27622-2270. Any person may file written submis- 
sion of convnents or argument at any time up to 
and including February 18, 1994. 

CHAPTER 16 - BOARD OF 
DENTAL EXA^^NERS 

SUBCHAPTER 16F - PROFESSIONAL 

CORPORATIONS AND PROFESSIONAL 

LINHTED LIABILITY' COMPANIES 

.0002 APPLICATION 

Applications for certification that all proposed 
owners of stock in a professional corporation or all 
managers and members of a professional limited 
liability company are licensed to practice dentistry 
shall be submitted by letter to the Board's office 
requesting such certification, and setting forth the 
following information: 

(1) The proposed name of the corporation or 
professional limited liability company ; 

(2) The names of all proposed owners of the 
shares of stock to be issued by the corpo- 
ration, or all members and managers of 
the professional limited liability company 
together with their addresses and current 
dental license numbers; and 

(3) The name or names of the proposed 
incorporators or the members who exe- 
cuted the articles of organization of the 
professional limited liability company , 
their addresses, and the current dental 
license numbers of such of them as are 
duly licensed to practice dentistry in the 
State of North Carolina. 

Statutory Authority- G.S. 55B-4(4}; 570-2-01; 90- 
48. 

.0003 CORPORATE OR LI^^TED 

LIABILITY' COMPANY NAME 

Corporate or limited liability company designa- 
tions shall consist only of the words. "Professional 
Association," or the abbreviation. "P. A.", for 
professional corporations and "Professional Limit- 
ed Liability Company, or "P. L.L.C." for profes- 
sional limited liability companies. , and all All 
corporate names shall be also contain the name or 
surname of one or more of the shareholders or 
members . 

Statutory Authority G.S. 55B-5: 57C-2-01: 57C-2- 
30: 90-48. 



1961 



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January 14, 1994 



PROPOSED RULES 



.0004 CERTIFICATE OF REGISTRATION 

(a) Application for a certificate of registration 
shall be made in writing to the Board, and shall be 
submitted upon the form provided by the Board for 
that purpose. The application shall be 
accompanied by a certified copy of the certificate 
of incorporation and articles of incorporation of a 
P.A. or a certified copy of the articles of 
organization of a P.L.L.C . together with a check 
in the amount of fifty dollars ($50.00) in payment 
of the registration fee. 

(b) The initial certificate of registration shall 
remain efl'ective for one year from the date of 
issuance thereof, unless suspended or terminated as 
by law provided, and each subsequent renewal of 
the certificate shall be effective for a period of one 
year from the date of issue. 

Statutory Authority G.S. 55B-10; 57C-2-01; 90-48. 

.0005 APPLICATION FOR RENEWAL 

At least 20 days prior to the date of expiration of 
the certificate, the corporation or limited liability 
company shall submit its written application for 
renewal upon a form to be provided by the Board. 
The application must be accompanied by a check 
in the amount of twenty-five dollars ($25.00) in 
payment of the renewal fee. 

Statutory Authority G.S. 55B-11; 57C-2-01: 90-48. 

.0007 AMENDMENTS TO ARTICLES OF 
INCORPORATION OR 
ORGANIZATION 

Amendments to the articles of incorporation or 
articles of organization shall be forwarded to the 
Board's office within ten days after the filing of 
the same in the office of the Secretary of State of 
North Carolina. 

Statutory Authority G. S. 55B-12; 57C-2-01; 57C-2- 
22; 90-48. 

.0008 EMPLOYMENT OF DENTAL 
HYGIENIST 

No corporation or limited liability company shall, 
at one and the same time, employ in clinical 
positions more than two dental hygienists for each 
dentist actively engaged in the corporate practice 
of dentistry. 

Statutory Authority G.S 90-223(b); 90-233(b). 

.0010 CORPORATE OFFICERS OR 
MANAGERS MUST EXECUTE 



DOCUMENTS 

All documents required by these rules to be 
submitted to the Board by the corporation or 
limited liability company shall be executed by the 
president or vice president of the corporation^ and 
attested to by the secretary/treasurer or by the 
managers of the limited liability company , and 
duly acknowledged before a notary public or some 
other officer qualified to administer oaths. 

Statutory Authority G.S. 558-12; 57C-2-01; 90-48. 

SUBCHAPTER 161 -ANNUAL 

RENEWAL OF DENTAL 

HYGIENIST LICENSE 

.0002 CONTINUING EDUCATION 
REQUIRED 

As a condition of license renewal, each dental 
hygienist must complete a minimum of 6 clock 
hours of continuing education courses per calendar 
year. 

Statutory Authority G.S. 90-225.1. 

.0003 APPROVED COURSES AND 
SPONSORS 

(a) Courses in satisfaction of this requirement 
must be directly related to patient care or patient 
safety. Hours spent reviewing dental or dental 
hygiene publications or videos shall not count 
toward fulfilling the continuing education 
requirement. 

(b) Approved continuing education course 
sponsors include: 

(1) providers recognized by the American 
Dental Association's Continuing 
Education Recognition Program, the 
Academy of General Dentistry, the 
American Dental Hygienists' 
Association, or components of such 
organizations; 
North Carolina Area Health Education 



ill 

14] 



Centers; 

educational institutions with dental or 

dental hygiene schools or departments; 

and 

state or local societies or associations or 

formally structured study clubs. 



Statutory Authority G.S. 90-225.1. 

.0004 REPORTING CONTINUING 
EDUCATION 

(a) The number of hours completed to satisfy 



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January 14, 1994 



1962 



PROPOSED RULES 



this requirement shiall be indicated on the renewal 
application form submitted to the Board and 
confirmed by the hygienist's signature. Upon 
request by the Board or its authorized agent, the 
hygienist shall provide official documentation of 
attendance at courses indicated. Such 

documentation must include: 

(1 ) the title and a course description; 

(2) the number of hours of instruction; 

(3) the date and location of the course 
attended; 

(4) the name(s) of the course instructor(s); 
and 

(5) the name of the organization offering or 
sponsoring the course. 

(b) All records, reports and certificates relative 
to continuing education credit hours must be 
maintained by the licensee for at least three years 
and shall be produced upon request of the Board 
or Us authorized agent. Documentation showing 
completion of reported hours of course work will 
be required of licensees on a random basis. 

Statutory- Authority G.S. 90-225.1. 

.0006 PENALTY' FOR NON-COMPLIANCE 
WITH CONTINUING EDUCATION 
REQUIREMENT 

If the applicant for a renewal certificate fails to 
provide proof of completion of reported continuing 
education hours as required by Rules .0002 and 
.0004 of this Subchapter, the Board may refuse to 
issue a renewal certificate until such time as the 
licensee completes the required hours of education 
and meets all other qualifications for renewal . 

Statutory Authority G.S. 90-225. 1. 

SUBCHAPTER 16R - CONTINUING 

EDUCATION REQLTREMENTS: 

DENTISTS 

.0001 CONTINUING EDUCATION 
REQUIRED 

As a condition of license renewal, every dentist 
must complete a minimum of J_5 clock hours of 
continuing education courses per calendar year. 

Statutory Authority G.S. 90-31.1. 

.0002 APPROVED COURSES AND 
SPONSORS 

(a) Courses in satisfaction of this requirement 
must be directly related to patient care or patient 
safety. Hours spent reviewing dental journals. 



publications or videos shall not count toward 
fulfilling the continuing education requirement. 

(b) Approved continuing education course 
sponsors include: 

(1) those recognized by the Continuing 
Education Recognition Program of the 
American Dental Association; 



(2) 
(3) 

14) 



£51 



the Academy of General Dentistry; 

North Carolina Area Health Education 

Centers; 

educational institutions with dental or 

dental hygiene schools or departments; 

and 

state or local societies or associations or 

formally structured study clubs. 



Statutory Authority G.S. 90-31.1. 

.0003 REPORTING OF CONTINUING 
EDUCATION 

(a) The number of hours completed shall be 
indicated on the renewal application form 
submitted to the Board and confirmed by the 
dentist's signature. Upon request by the Board or 
its authorized agent, the dentist shall provide 
official documentation of attendance at courses 
indicated. Such documentation must include: 



i2J 



the title and a description of the course; 
the number of hours of instruction; 
the date and location of the course 
attended; 

(4) the name(s) of the course instructor(s); 
and 

(5) the name of the organization offering or 
sponsoring the course. 

(b) All records, reports and certificates relative 
to continuing education credit hours must be 
maintained by the licensee for at least three years 
and shall be produced upon request of the Board 
or its authorized agent. Documentation showing 
completion of reported hours of course work will 
be required of licensees on a random basis. 

Statutory Authority G.S 90-31.1. 

.0004 PENALTV FOR NON-COMPLIANCE 
WITH CONTINUING EDUCATION 
REQUTREMENT 

If the applicant for a renewal certificate fails to 
provide proof of completion of reported continuing 
education hours as required by Rules .0001 and 
.0003 of this Subchapter, the Board may refuse to 
issue a renewal certificate until such time as the 
licensee completes the required hours of education 
and meets all other qualifications for renewal . 



1963 



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January 14, 1994 



PROPOSED RULES 



Statutory Authority G.S. 90-31.1. 



.0005 



EXEMPTION FROM CONTINUING 
EDUCATION 

(a) Dentists may request exemption from 



continuing education requirements by submitting 
evidence in writing to the Board that the dentist is 
retired from the practice of dentistry. 

(b) In those instances where continuing education 
is waived and the exempt individual wishes to 
resume practice, the Board shall require continuing 
education courses when re-classifying the licensee. 

Statutory Authority G.S. 90-31.1. 

SUBCHAPTER 16S - IMPAIRED DENTIST 
PROGRAM 

SECTION .0100 - GENERAL 

.0101 DEFINITIONS 

The following definitions are applicable to 
impaired dentist programs established in 
accordance with G.S. 90-48.2: 

(1) "Board" means the North Carolina State 
Board of Dental Examiners; 

(2) "Impairment" means chemical 
dependency or mental illness; 

(3) "Board of Directors" means individuals 
comprising the oversight panel consisting 
of representatives from the North 
Carolina Dental Society, the Board, and 
the UNC School of Dentistry established 
to function as a supervisory body to the 
Caring Dentist Program; 

(4) "Director" means the person designated 
by the Board of Directors to organize and 
coordinate the activities of the Caring 
Dentist Program; 

(5) "Caring Dentist Program " means the 
program established through agreements 
between the Board and special impaired 
dentist peer review organizations formed 
by the North Carolina Dental Society 
made up of Dental Society members 
designated by the Society, the Board, and 
the UNC School of Dentistry to conduct 
peer review activities as provided in G.S. 
$90-48. 2(a). 

(6) "Caring Dentist Program members" 
means volunteer Dental Society members 
selected by the Board of Directors from 
peer review organizations to serve as 
parties to interventions. to direct 
impaired dentists into treatment, and as 



monitors of those individuals receiving 
treatment. 

Statutory Authority G.S. 90-48; 90-48.2. 

.0102 BOARD AGREEMENTS WITH 

PEER REVIEW ORGANIZATIONS 

The Board shall enter into agreements with 
special impaired dentist peer review organizations, 
pursuant to G.S. 90-48.2, to establish the Caring 
Dentist Program to be supervised by the Board of 
Directors. Such agreements shall provide for: 

(1) investigation, review and evaluation of 
records, reports, complaints, litigation, 
and other information about the practice 
and practice patterns of licensed dentists 
as may relate to impaired dentists; 

(2) identification, intervention, treatment, 
referral . and follow up care of impaired 
dentists; and 

(3) due process rights for any subject dentist. 

Statutory Authority G.S 90-48; 90-48.2. 

SECTION .0200 - GUIDELINES FOR 
PROGRAM ELEMENTS 

.0201 RECEIPT AND USE OF 
INFORMATION OF 
SUSPECTED IMPAIRMENT 

(a) Information concerning suspected impairment 
may be received by the Caring Dentist Program 
through any of the following sources: 

(1) reports of physicians, psychologists or 
counselors; 

(2) reports from family members, staff or 
other individuals; 

(3) self-referral; or 

(4) referral by the Board. 

(b) When information of suspected impairment 
is received, the Program shall conduct an 
investigation and routine inquiries to determine the 
validity of the report. 

(c) Dentists suspected of impairment may be 
required to submit to personal interviews if the 
investigation and inquiries indicate the report of 
impairment may be valid. 

Statutory Authority G.S 90-48; 90-48.2. 

.0202 CONFIDENTIALITY 

Information received by the Program shall 
remain confidential and shall not be released to 
any party outside the membership of the Program. 
However, information received as a result gf a 



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January 14, 1994 



1964 



PROPOSED RULES 



Board referral shall be freely exchanged with the 
Board or its authorized agents. 

Statutory Authority G.S. 90-48: 90-48.2. 

.0203 ENJTERVENTION AND REFERRAL 

(a) Following an investigation, if an impairment 
is determined to exist and confirmed, an 
intervention shall be conducted using specialized 
techniques designed to assist the dentist in 
acknowledging responsibility for dealing with the 
impairment. The dentist shall be referred to an 
appropriate treatment source. 

(b) Following an investigation, intervention, or 
treatment, or upon receipt of a complaint or other 
information. a peer review organization 
participating in the Caring Dentist Program shall 
report to the Board detailed information about any 
dentist licensed by the Board, if it js determined 
that: 

the dentist constitutes an imminent 



m 

12} 



danger to the public or himself: 
the dentist refuses to cooperate with the 
program. refuses to submit to 
treatment, or is still impaired after 
treatment and exhibits professional 
incompetence; or 
(3) it reasonably appears that there are 
other grounds for disciplinary action. 

(c) Program members may consult with medical 
professionals and treatment sources as necessary m 
carrying out the Program's directives. 

(d) Interventions shall be arranged and 
conducted as expeditiously as possible. When 
interventions are conducted as a direct result of a 
Board-initiated referral, a Board representative 
may be present. 

(e) Treatment sources shall be evaluated and 
determined applicable before an individual is 
referred for treatment, and any treatment contracts 
or aftercare agreements shall be documented and 
recorded by the Program. 

Statuton- Authority G.S. 90-48; 90-48.2. 

.0204 MONITORING TREATMENT 

A treatment source or facility receiving referrals 
from the Program shall be continually monitored 
to determine its ability to provide: 
(I ) adequate medical and non-medical staff- 
ing; 

appropriate treatment; 
affordable treatment; 



i2j 
13] 
i4] 



adequate facilities; and 
appropriate post-treatment support. 



Statutory Authority G.S 90-48; 90-48.2. 

.0205 MONITORING REHABILITATION 
ANT) PERFORMANCE AFTER 
TREATMENT 

(a) Program members shall monitor dentists 
following treatment. Testing for impairment shall 
be conducted until rehabilitation has been accom- 
plished. 

(b) Treatment sources shall submit reports to the 
Director concerning a dentist's rehabilitation and 
performance. 

(c) Impaired dentists shall submit to periodic 
personal interviews before the Director or Program 
members designated by the Director; or, for those 
referred to the Program by the Board, before the 
Board's agents. The frequency of personal inter- 
views shall be determined by the dentist's ability 
to accomplish rehabilitation and adequately per- 
form after treatment. 

(d) Complete records shall be maintained by the 
Program on al] dentists reporting for assistance, 
treatment, or monitoring and such records shall 
remain confidential in accordance with G.S. 90- 
48.2(e). 

(e) The Program shall maintain statistical infor- 
mation regarding impairment, to be reported to the 
Board periodically, but no less than once a year. 

(f) The Program shall compile and report infor- 
mation periodically to the Board regarding investi- 
gations, reports, complaints, intervention, treat- 
ment, referral , rehabilitation and follow up care of 
impaired dentists. Such reports shall not identify 
the subject dentist unless the dentist was referred 
by the Board or a determination under Rule 
.0203(b) of this Section has been made. 

Statutory Authority G.S. 90-48; 90-48.2. 

iSotice /> hereby given in accordance with G.S. 
150B-21.2 that the Board of Medical Examiners of 
the State of North Carolina intend.^' to repeal rules 
cited as 21 NCAC 32L .0001 - .0012; and adopt 
rules cited as 21 NCAC 320 .0001 - .0021. 

1 he proposed effective date of this action is April 
1. 1994. 

1 he public hearing will be conducted at 1:00 
p.m. on February 4, 1994 at the NC Medical 
Board. 1203 Front St. , Raleigh. N. C. 



1965 



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NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



Keason for Proposed Action: 
21 NCAC 32L .0001 - .0012 - Repealing Subchap- 
ter 32L and adopting new PA rules under 320. 
21 NCAC 320 .0001 - .0021 - To adopt rules that 
bring PA practice in NC into conformity with 
national standards. 

(comment Procedures: Persons interested may 
present written or oral statements relevant to the 
actions proposed at a hearing to be held as indi- 
cated above. Written statements not presented at 
the hearing should be directed before February 14. 
1994 to the following address: Administrative 
Procedures, NC Medical Board, P O. Box 26808, 
Raleigh. NC 27611-6808. 

CHAPTER 32 - BOARD OF MEDICAL 
EXAMINERS 

SUBCHAPTER 32L - APPROVAL OF 
PHYSICIAN ASSISTANTS 

.0001 DEFINITIONS 

The following definitions apply to this Subchap 
teff 

{\) "Physioian j\ssistant or PA" means an 

auxiliary, param e dical p e rson who funo 
tions at th e direction of or under the 
supervision of a physioian lic e ns e d by th e 
Board and who p e rforms tasks tradition 
ally perform e d by the physician, such as 
history — taking. — physical — e xamination, 
diagnosis, and tr e atm e nt. 

^3) "Physician — Assistant Applicant" — m e ans 

the — individual — upon whose b e half an 
application i s s ubmitted who may func 
tion befor e approval by th e Board in th e 
sam e manner in which h e functioned a s a 
stud e nt under strict supervision as out 
lined in Rul e .0002 of thi s Subchapt e r. 

(^3 "Supervi s ion" — means — the — physician's 

function of overs ee ing. — managing, and 
directing th e m e dical acts p e rform e d by 
the PA a s outlin e d in Rule .0009 of this 
Subchapt e r. 

{4) "Primary Sup e rvising Physician" means 

th e phy s ician who. by signing th e appli 
cation to th e Board, acc e pts full m e dical 
administrativ e r e sponsibility for th e PA's 
m e dical activitie s and conduct at all tim e s 
wh e th e r h e p e r s onally is providing sup e r 
vi s ion or s up e rvision is b e ing provid e d 
by a Back up Supervi s ing Phy s ician. The 



k^ 



(6)- 



Primary — Supervising — Phy s ioian — s hall 
a ss ume total re s ponsibility to a s sure the 
Board that the PA i s s ufficiently qualified 
by education and training to perform al l 
medical act s required of the PA and s hall 
a ss ume total re s ponsibility for the PA s 
performance — m — the — particular — ftekl — Bf 
fields in which the PA is expeotod to 
perform medioal aet s . 
"Baok up Supervising Physioian" means 
the phy s ician who. by signing the appli 
cation to the Board, accepts the re s pon s i 
bility to be — available — te — s upervise the 
IWs — activitie s — in — the — absence — of the 
Primary Supervising Phy s ician only in 
the practice s ites listed in the application 
approved by the Board. — The Back up 
Supervising Physician is re s pon s ible for 
the activities of the PA only when he is 
providing supervision. 
"Formulary" moans the doeument v»'hich 
lists generic eategorica of drugs to be 
prescribed, — ordered, — ©f — dispensed — hy 
physician extenders under written s tand 
ing orders from the s upervi si ng phy s ician 
fef — patient — eaf=e — m — approved — practice 
s ite s . 

"Approved — practice — sites" — means — eftiy 
those practice s ites specifically listed in 
the approved application on file in the 
Board's — office — m — which — the — PA — may 
legally perform medical acts. 



Statutory Authority G.S 90-18(13): 90-18.1. 

.0002 PHYSICIAN ASSISTANT APPLICANT 
STATUS 

The Physician Assistant Applicant status may be 
used only by an individual whose applicat i on for 
approval a s a Physioian Assistant ha s been re 

ceived — ifl — the — Board' s — office. The — Physician 

Aijsistant Applicant status may not be used to "try 
out" a job or v»'ork temporarily in a job in which 
the individual does not intend to obtain Board 
approval. — In the event the individual leave s the 
job in which he has v»'orked as a Physician Assis 
tant Applicant before Board approval i s granted, 
the individual mu s t submit a written explanation to 
the Board before he may work in the Physician 
As s i s tant Applicant status in another job. 

t4^ The Physician As s i s tant Applicant s tatu s 

applie s to: 

{ft) an individual newly graduated from a 

PA training program; or 
fb) an individual coming to North Carolina 



m- 



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1966 



PROPOSED RULES 



for the first time who has worked provi 
ou s ly as a PA in another state. 

^ A Phy s ieian Assistant Applieant. 

described — m — Subparagraph — ( 1 ) of this 
Rule, may function before approval by 
the Board under s trict supervision with 
the following limitations: 

•(*) wear — identification — as — a — "Physician 

/Vssistant Applicant"; 

fb-) have no prescribing privileges; 

i^ hav e immediate physician 

countersigning of all — notations — in all 
patient charts in all practice location s ; 

fd) have no remote practice sites. (The 

supcrx'ising physieian must always be 
physically present in the practice site in 
which the applicant is working.) 

(^^ The Physician j\ssistant Applicant statu s 

does not apply to an indix'idual previously 
approved as a PA in North Carolina in 
another — practice — situation — which — has 
terminated who is seeking appro\'al in a 
new job. — The previously approved PA 
may function prior to approval of the 
new job a s follow s : 

fa-) wear — identification — as — a — "Physician 

/Vssistant"; 

i^ ttse — prescribing — number — prcxiously 

issued — by — tte — Board — for prescribing 
pri\'ilcges; 

{ej have — physician — countersigning — of all 

notation s — in all — patient charts — in all 
practice — location s within 2 4 hours of 
PA/patient contact. 

Statutory Authorit}- G.S. 90-18(13). 

.0003 REQUIREMENTS FOR PA 
APPROVAL 

fa^ — Before being appros'cd by the Board, an 
applicant mu s t: 

f4-) Be of good moral charact e r. 

(3-) Give evidence that he has successfully 

completed — a — PA — training — program 

recognized by the Board as set forth in 

Rule .0006 of this Subchapter. 

fb-) — Initial appro\'al may be denied for any of the 

reasons set forth in Rule .0007 of thi s Subchapter. 

a s well — as — failure to s ati s fy' the — Board of the 

qualifications of the — PA training program from 

which the applicant graduated as set forth in Rule 

.0006 of this Subchapter. 

Statutory Authority G.S 90-18(13). 



.0004 APPLICATION FOR PA APPROVAL 

fa^ — Application for approval of a PA must be 
made upon forms supplied by the Board and mu s t 
be submitted jointly by the PA and supervising 
physicians with whom the PA will work. 

fb^ — Application form s submitted to the Board 
must be complete in every detail and in every 
supporting document required must be submitted 
by the deadline set by the Board in order that the 
application may be considered appropriately. 

fe) — If for any reason a PA di s continue s working 
under the supervision of the primary physician 
who s ubmitted the application under which the PA 
is approved, the Board shall be notified and the 
PA's approval shall automatically terminate until 
s uch time as a new application is approved by the 
Board. 

(d) The following applications for changes in the 
PA practice may be admini s tratively approved by 
th e Board's stafF and reported to the Board at each 
meeting: 

t4^) routine job changes of a PA previously 

approved in N.C. ; 

{3^ additional job under a new primary 

supervising phy s ician; 

03 change ©f primary supervising 

physician when that is the only change 
txxlcing place in a currently approved PA 
practice site; 

{A) addition ef back up supervising 

physicians to a currently approved PA 
practice site; 

(§3 addition — of practice — sites — under — the 

superx'ision of the currently approved 
primary s upervising physician; 

i€) temporary approval for s econd site on 

relief basis not to exceed two months. 
fe) — Admini s trative approval is not automatic for 
the applications listed in thi s Rule. — TTie changes 
may be admini s tratively approved at the di s cretion 
of the Board's staff. — Changes cannot be proces s ed 
admini s tratively but must be considered by th e 
Board — as — follow s : — if — any — ef — the — background 
questions — are — answered — "yes" — by — the — R\ — or 
primary s upervi s ing physician; or if the PA or any 
of — the — supervising — physicians — li s ted — have — an 
inv e stigative, complaint, or public file. 

Statutory Authority G.S 90-18(13): 90-18.1. 

.0005 PRESCRIBING PRIVILEGES 

fa) The — PA — Applicant — and — tbe — supervising 

physician s s hall acknowledge in the application 
that they are familiar with law s and rule s of the 
Board regarding prescribing; and shall agree to 



1967 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



comply with these lawa and rules by incorporating 
the lawa and rulca. including the Formulary, into 
their written standing orders. 

{b) The — generic — categories — listed — m — the 

Formulary are based on the American Hospital 
Formulary Service published by the American 
Society of Hospital Pharmacists. — The Formulary 
is adopted by reference by the Board as a part of 
thi s Rule in accordance with provi s ion s of G.S. 
150B 1 4 (c). 

{e) — The prescribing stipulations contained in 
these rules and in the Formulary apply to writing 
prescriptions. — ordering — the — administration — of 
medications in out patient and inpatient s etting s , 
and dispensing medications. Approval to dispense 
must be obtained from the Board of Pharmacy. 
{4) — Prescribing stipulations arc as follows: 

{V) Controlled Substances: 

{A) — No controlled s ubstances (Schedule s 
2. 2N. 3. 3N. 4 , 5) defined by the 

State and Federal Controlled 

Sub s tances Acts may be pre s cribed, 
ordered, or di s pensed. 
fB) — Verbal orders given to the PA by the 

supervising phy s ician f^f 

admini s tration — ef — a — controlled 
substance to a specific patient may be 
entered into the patient chart by the 
PA just as an RN may transcribe a 
physician's verbal order into a patient 
chart. 

f3^ Parenteral Medications — No parenteral 

preparation s may be prescribed, 

-&F — admini s tered 
order — »f — tije 



ordered, — dispensed, 
unless — under — the- 



supervising physician as set forth in 
Paragraph (d)(3)(B) of thi s Rule with 
the — exception — ef — those — med i cation s 
listed on the Formulary as allovi^ed. 

^ Excluded Drugs: 

(A) Any pure form or combination of the 
generic classes of drugs listed in the 

Formulary may be pre s cribed. 

ordered, or di s pensed, unle s s the drug 
or class of drug is listed as excluded 
from the Formulary. 
fB) — The PA may prescribe an excluded 
drug or cla ss of drug only as follows: 

fh) after — the — patient has — been 

previou s ly s een by the supervising 
physician for initial treatment of 
that illness and a written order has 
been entered into the chart by the 
phy s ician for future treatment by 
the PA; or 



ftt^ upon a specific written or verbal 

order obtained from the 

supervising phy s ician before the 

prescription or order is issued by 

the PA. 

^G^ — Such a prescription or order written 

a s de s cribed in Paragraph (d)(3)(B) of 

this Rule must be s igned by the PA 

with a notation that it i s i s sued on the 

specific — order — of — the — supervising 

physician. — For example: Mary Smith. 

PA. on order of John Doe. M.D. 

(4^ Refill s A — pre s cription — may — net 

indicate a refill with the exception of 
birth control medications which may be 
issued for a period not to exceed one 

(5^ Dosage — Units Amount — ef — drug 

prescribed, ordered, or dispensed can 
be no more than 100 dosage units or a 
one month supply with the exception of 
birth control medications which may be 
issued for a period not to exceed one 

ycQ.r. 

{h) Prescription Notations Every 

prescription — must — be — not e d — en — the 
patient' s chart. — A s econd prescription 
fef — the — same — medication — m»f — be 
authorized by telephone by the PA and 
must be entered on the patient's chart 
and countersigned by the supervi s ing 

phy s ician within the specified 

countersigning time approved by the 
Board. 

f?^ Prescribing Number A prescribing 

number is assigned by the Board to a 
PA upon approval by the Board. — This 
number must appear on all prescriptions 

issued by the PA. The — prescribing 

number is used as the PA's Approval 

Number. 

Pre s cription — Blank — Format AH- 



(8^ 



prescriptions — issued — by — a — VA — s hall 
contain the name and telephone number 
of the supervi s ing physician: the name, 
practice address, telephone number, and 
prescribing number of the PA. as well 
as all information required by law. — A 

s ugge s ted prescription format hs 

included in the application packet. 

f9) Pre signed Prescription Blanks The 

supervising physician — shall — net — leave 
pre signed prescription forms for u s e by 
the PA. 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1968 



PROPOSED RULES 



Statutory Authority G.S. 90-18(13): 90-18.1; 
1 SOB- 14(c). 

.0006 REQUIREMENTS FOR 

RECOGNITION OF PA TRAINING 
PROGRAMS 

AW — FV^t — training — programs — approved — ^/ — th« 
American Medical Association Council on Medical 
Education (AMA) arc recognized by the Board. 

{+) Application — fef — recognition — ©f — a — PA 

training — program — not approved — by the 
AMA — shall — be — made — by — letter — and 
s upporting documents from the Director 
of the program and must demonstrate to 
the satisfaction of the Board that such 

program fulfills ih^ following 

requirements: 

{a) Sponsorship The — training program 

must — be spon s ored by a college or 

university w i t h appropriate 

arrangements for the clinical training of 
•its — students. — s«eh — as — a — hospital 
maintaining a teaching program. — There 
must be e\'idence that the program has 
education as its primary orientation and 
objective. 

fb) Director The program must be under 

the superx'ision of a qualified director, 
who has at his disposal the re s ource s of 
competent per s onnel adequately trained 
in the administration and operation of 
educational program s . 

fe) Facilitie s Adequate space, light and 

modern equipment mu s t be provided for 

aH — teaching — functions. A — library. 

containing up to date textbooks- 
scientific — periodicals. — and — reference 
material pertaining to clinical medicine, 
its underlying scientific di s cipline s , and 

tts s pecialtie s . shall be readily 

accessible to students and faculty. 

f#) Curriculum The — curriculum — Hwst 

provide — adequate — in s truction — m — the 
basic — sciences — underlying — medical 
practice to provide the trainee with an 
under s tanding of the nature of disease 
processes — and — s ymptom s . — abnormal 
tests, and drug actions. — This must be 
combined with instruction, observation. 
and — participation — in — history — talcing, 
physical exflmination. — and therapeutic 

procedures. This — should — be — m 

sufficient depth to enable the graduate 
to integrate and organize hi s torical and 
physical finding s . The didactic 



instruction shall follow a planned and 
progressive outline and shall include an 

appropriate mixture — ©f — classroom 

lectures. textbook assignments. 

discussions, demonstrations, and s imilar 
activities. — Instruction — s hall — include 

practical in s truction mtd clinical 

experience under qualified supervision 
s ufficient to provide understanding of a 
sktH — ifl — performing — those — clinical 
function s which the PA may be asked 
to perform. — There must be sufficient 

evaluative procedures te assure 

adequate — evidence — ef — competcnoc. 
Although the student may conccntmtc 
his effort and hi s intere s t in a particular 
specialty of medicine, the program must 
in s ure that he possesses a broad general 
understanding of medical practice and 
therapeutic technique s . 

fe) Length of Program Although some 

variation — may — be — possible — fef — the 

individual student. dependent ©ft 

aptitude. previou s education and 

experience. — the — curriculum — shaH — be 
de s igned — te — requir e — twe — ©f — more 
academic years for completion. 

tf) Faculty The program — must have a 

faculty competent to teach the didactic 
and clinical material which comprises 

the — curriculum. The — faculty — shaH 

include at least one instructor who i s a 
graduate — ©f — medicine. — licensed — t© 
practice in the location of the school, 
whose training and exp e rience enable 
him to properly supervise progress and 
teaching in clinical s ubjects. — He shall 
be in attendance for sufficient time to 
insure proper expo s ure of the student to 

clinical — teaching — and — pmctice. The 

program may utilize in s tructors other 
than physicians, but sufficient exposure 
to clinical medicin e mu s t be prox'ided to 
in s ure understanding of the patient, his 
problem. — and — the — diagnostic — and 
therapeutic responses to thi s problem. 

■(§3 Entrance Requirements The program 

mu s t. — through — appropriate — e ntranc e 
requirements. — insure — that — candidates 
accepted for training possess: 

i+) ability — t© — ase — written — and — spoken 

language in eflFective communication 
with physicians, patients, and other s ; 
•(iij — quantification s kill s to insure prop e r 
calculation and interpretation of tests; 



1969 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



{i«) — behavioral charactcri f itics of honesty 

and dependability; and 
(tv) — high ethical and moral s tandards, in 
order to — safeguard — the — interest — ©f 
patients and others. 

f3^ To retain its recognition by the Board, a 

recognized program shall: 

{et) make — available — te — the — Board — the 

operating budget and yearly summarie s 
of case loads and educational activities 
done — by — clinical — affiliates, — including 
volume of outpatient visits and number 
of inpatients; 

(b) maintain a satisfactory record of th e 

entrance qualifications ef and 

evaluations of all work done by each 
student, which shall be available to the 
Board; and 

^e^ notify the — Board — m — writing of any 

major change s in the curriculum or a 
change — m — the — directorship — ef — the 
program . 

f^3 Recognition — ef — a — program — m»f — be 

withdrawn when, in the opinion of the 
Board, the program fails to maintain th e 
educational s tandards described in this 
Rule. — When a program ha s not been in 
operation for a period of Vwo consecutive 
years, recognition will automatically be 

withdrawn. Withdrav»'al of recognition 

from a program will in no way affect th e 
status of a PA who graduated from the 
program while it wa s recognized and who 
has been approved by the Board. 

Statutory Authority G.S. 90-18(13). 

.0007 TERMINATION OF PA APPROVAL 

The approval of a PA may be terminated by the 
Board — v»'hen, — after due — notice and — hearing — m 
accordance with provisions of Article 3A of G.S. 
150B, it shall find: 

fH that the PA has held himself out or 

permitted another to represent him a s a 
licensed physician; 

f3) that — the — R\ — has — engaged — m — (he 

performance of medical act s other than at 
the direction of. or under the s upervision 
of, a phy s ician licen s ed by the Board 
who is approved by the Board to be a 
supervising physician; 

0) that the PA has performed a medical act 

for which the PA is not approved or for 
which — the — R\ — vs — net — qualified — by 
education — and — training — te — perform , 



f4^ 



including prescribing, ordering, ©f 

dispensing — drugs — net — allowed — hy — the 

Formulary; 

that — (he — W\ — is — impair e d — physically. 



mental l y, or professionally ao a re s ult of 

using mind altering chemicals; 

that the PA ha s been convicted in any 



(^ 



f^ 



court, — of a felony — or other criminal 

offen s e; 

that — (he — YV\ — \% — adjudicated — mentally 

incompetent or that the PA' s mental or 

physical condition render s the PA unable 

to safely function a s a PA; 

irh that the PA ha s failed to comply with any 

of the provi s ion s of this Subchapter. 

Statutory Authority G.S. 90-18(13). 

.0008 METHOD OF IDEIVTIFICATION 

The — PA s hall — wear an appropriate name tag 
spelling out the words "Physician Assistant". 

Statutory Authority G.S. 90-18(13). 

.0009 SUPERVISION OF A PA 

Supervision s hall be provided by the re s pon s ible 
physician as follows: 
(4-) Availability: 

fa) The — supervising — physician — shaH — be 

available for direct communications by 

radio, telephone, e-r 

telecommunication s . 

^ The — supervising — physician — shall — be 

available on a regularly scheduled basis 
for referrals of patients from the PA. 
(3) Written Standing Order s : 

{tt) The supervising physician shall provide 

in each practice location, for u s e by the 
PA and for referral by other per s onnel, 
written — standing — orders — and — drug 
protoco l s — t© — cov e r — most — commonly 
encountered problems in the practice 
s etting. 

fb) The — written — standing — order s — shall 

include — a — predetermined — pten — fef 
emergency service s . 

{e) The PA shall refer a patient to another 

physician — other — (han — an — approved 

supervising physician only i-n 

accordance wi(h written standing 

orders. 
(5) Counter s igning: 

(a) The — (H»e — interval — between — (he — R¥s 

contact — with — (he — patient — and — chart 
review — and — counter s igning — hf — (he 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1970 



PROPOSED RULES 



supcrviaing physician shall be 72 houre. 

{%) A longer countersigning time interval 

may be considered by the Board upon 
specific request. — The reque s t s hould 
explain — ttw — practice — circum s tance s 

which nece ss itate rthe longer 

countersigning interval. 

fe) All entries by a PA into patient chart s 

in all approved practice location s mu s t 
be countersigned — by — the supervising 
physician. — Entrie s include but are not 
limited — ten — progre ss — note s ; — treatment 
rendered; tests or procedure s ordered; 
and notation s of prescriptions or orders, 
and drugs dispensed or administered. 
f4) Supervision Arrangements: 

{e^ If the PA is to perform dutie s away 

from — the — s upervi s ing — physician, — the 
application — mu s t — clearly — specify — the 
circumstances which would ju s tify thi s 
action and the s upervi s ory arrangements 
established to protect the patient. 

fb) Details must be s ubmitted describing 

distance. — time. — topography. — physical 

characteri s tics. and communication 

ability — between — the — Rr\ — and — the 
s upervising physician. 
^&) Supervi s ing Phy s ician s : 

ittj A — physician — m — a — graduate — medical 

education — program. — whether — fully 
licensed or holding only a resident's 
training license, cannot be named a s a 
s upervising phy s ician. 

fb) A — phy s ician — m — a — graduate — medical 

e ducation program who is aJs© 

practicing — in a non training situation 
may supervi s e physician as s i s tant s in 
the — non training — situation — if — feHy 
licensed. 

fe^ All physicians who may supervise the 

PA in any manner must be approved by 
the — Board — before — {^t — supervision 
occurs. 

t^) The PA must be prepared to demonstrate 

upon request to a memb e r of the Board, 
or it s delegates, the ability to perform the 
medical acts as s igned by the supervising 
physician. 

Statutory Authority G.S. 90-18(13). 

.0010 ANNUAL REGISTRATION OF PA 
APPROVAL 

{Br) — Physician ;\ 3s i 3 tant s approved under these 
rules shall register their approval annually with the 



Board by July 1 of each year on forms supplied by 
the — Board — and — shall — be — accompanied — h^ — a 
registration fee of thirty five dollars ($35.00). 

fb) — In the event failure to register continues for 
a period of 30 days, formal action may be taken 
against the approval of the PA by the Board after 
notice — and — hearing — tn — accordance — with — G.S. 
150B 38. 

Statutory Authority G.S. 90-15.1. 

.0011 FEES 

(a) — An application fee of one hundred and fifty 
dollars ($150.00) shall be paid at the time of the 
initial application for approval and each subsequent 
application for job change. 

fb) — An application foe of on e hundred dollars 
($1(X).00) s hall be paid at the time of application 
for a change — of primary supervising phy s ician 
when that i s the only change in the PA employ 
ment situation. 

fe) — Th e fee for annual registration, due July 1. 
is thirty five dollar s ($35.00). 

(d) No portion of the fee s in this Rule is refund - 

Statutory Authority G.S. 90-15. 

.0012 PA FORMS 

The — following — documents — regarding — phy s ician 
assistants may be obtained from the Board' s office: 
m Rule s for Approval of Physician jXa s is 

tants. Subchapter 32L; 

(3^ Formulary; 

^ North Carolina Laws Regarding Physi 

eian — Assistants. — St* — 90 1 8 (13) and 

90 18.1; 

{Ar) Application for PA Approval; 

f§) Statement of Approval, upon being ap 

proved ; 
{hj Application — tef — Annual — Registration, 

mailed during June to all Physician Assis 

tants approved by May I ; 
(7^ Certificate of Registration, upon register 

iflfr 

Statutory Authority G.S. 150B-11. 



1971 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



.0001 

The 
ter: 
ill 



12] 



SUBCHAPTER 320 - PHYSICIAN 
ASSISTANT REGULATIONS 

DEFINITIONS 

following definitions apply to this Subchap- 



I3J 



i4j 



15] 



(a) 



"Board" means the Board of Medical 



Examiners of the State of North Caroli- 
na. 

"Physician Assistant" means a person 
licensed by the Board to perform medical 
acts, tasks, or functions under the super- 
vision of a physician licensed by the 
Board and who performs tasks tradition- 
ally performed by the physician and who 
has graduated from a physician assistant 
or surgeon assistant program accredited 
by the accrediting agency approved by 
the Board. 

"Physician Assistant License" means the 
document issued by the Board showing 
approval for the physician assistant to 
perform medical acts, tasks, or functions 
under North Carolina law. 
"Registration" means paying an annual 
fee and updating practice information 
requested by the Board as outlined in 
Rule .0005 of this Subchapter. 
"Supervising Physician" means a physi- 
cian licensed to practice medicine by the 
Board and authorized by the Board to 
supervise physician assistants. 
The "Primary Supervising Physician" is 
the physician who, by signing the appli- 
cation to the Board, accepts full respon- 
sibility for the physician assistant's 
medical activities and professional 
conduct at aU times whether he person- 
ally is providing supervision or if su- 
pervision is being provided by a 
Back-up Supervising Physician. The 
Primary Supervising Physician shall 
assume total responsibility to assure the 
Board that the physician assistant is 
sufficiently qualified by education and 
training to perform all medical acts 
required of the physician assistant and 
shall assume total responsibility for the 
physician assistant's performance in the 
particular field or fields in which the 
physician assistant ]s expected to 
perform medical acts. No more than 
two physician assistants may be 
currently registered to a primary 
supervising physician. 



(b) The "Back-up Supervising Physician" 

means the physician who, by signing 

the application to the Board, accepts the 

responsibility to supervise the physician 

assistant's activities in the absence of 

the Primary Supervising Physician only 

in the practice sites listed in the 

application approved by the Board. 

The Back-up Supervising Physician js 

responsible for the activities of the 

physician assistant only when he is 

providing supervision. 

(6) "Supervision" means overseeing the 

activities of, and accepting the 

responsibility for, the medical services 

rendered by a physician assistant in a 

manner approved by the Board. 

Statutory Authority G.S. 90-18(13); 90-18.1. 

.0002 QUALIFICATIONS FOR LICENSE 

Except as otherwise provided in this Subchapter, 
an individual shall be licensed by the Board before 
the individual may practice as a physician 
assistant. The Board may grant a license as a 
physician assistant to an applicant who: 

( 1 ) submits an application on forms approved 
by the Board; 

(2) pays the appropriate fee as determined by 
the Board; 



il) 



14] 



15) 



16) 
17) 



18) 



has successfully completed an educational 
program for physician assistants or 
surgeon assistants accredited by the 
Board-approved accrediting agency and 
has passed a certifying examination 
approved by the Board if initially 
licensed after April L, 1994; 
certifies that he or she [s mentally and 
physically able to engage safely m 
practice as a physician assistant; 
has no licensure, certification, or 
registration as a physician assistant under 
current discipline, revocation, suspension 
or probation for cause resulting from the 
applicant's practice as a physician 
assistant, unless the Board considers such 
condition and agrees to licensure; 
is of good moral character; 

other 



submits to the Board 



any 



information the Board deems necessary to 

evaluate the applicant's qualifications; 

and 

has been approved by the Board. 



Statutory Authority G.S. 90-6: 90-18(13): 90-18. 1. 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1972 



PROPOSED RULES 



.0003 TEMPORARY LICENSE 

The Board may grant a temporary license to an 
applicant who meets the qualifications for licensure 
except that the applicant has not yet taken a 
Board-approved certifying examination or the 
applicant has taken a Board-approved certifying 
examination and is awaiting the results. A 
temporary license is valid: 

(1) for one year from the date of issue; 

until the results of an applicant's 



12] 
13J 



examination are available; or 
until the Board makes a final decision on 
the applicant's request for licensure; 
whichever comes first. The Board may 
extend a temporary license, upon a 
majority vote of the Board members, for 
a period not to exceed one year. Under 
no circumstances may the Board grant 
more than one extension of a temporary 
license. 



Statutory Authority G.S. 90-18(13): 90-18.1. 

.0004 INACTIVE LICENSE STATUS 

Any physician assistant who notifies the Board in 
writing may elect to place his or her license on an 
inactive status. A physician assistant with an 
inactive license shall not practice as a physician 
assistant. Any licensee who engages in practice 
while his or her license is lapsed or on inactive 
status shall be considered to be practicing without 
a license, which shall be grounds for discipline 
under 21 NCAC 320 .0016. A physician assistant 
requesting restoration from inactive status shall be 
required to gay the current renewal fee and shall 
be required to meet the criteria for renewal as 
specified in 21 NCAC 320 .0005. 

Statutory Authority G.S 90-18(13); 90-18.1. 

.0005 ANNUAL REGISTRATION 

Each person who holds a license as a physician 
assistant jn this state will, upon notification from 
the Board, annually renew said license by: 
( I ) submitting the fee required in Rule .0021 
of this Subchapter; 

completing the appropriate forms; and 
meeting any other requirement set forth 
by the Board. 



12] 
13] 



Statutory Authority G.S 90-18(13); 90-18. 1. 

.0006 CONTINUING MEDICAL 
EDUCATION 

In order to maintain physician assistant licensure. 



documentation must be maintained by the 
physician assistant of 100 hours of continuing 
medical education (CME) for every two year 
period, at least 40 of which must be American 
Medical Association Category I or equivalent. 
CME documentation must be available for 
inspection by the Board or an agent of the Board 
upon request. 

The physician assistant who wishes to prescribe 
controlled substances shall complete at least three 
hours of CME every two years on the medical and 
social effects of the misuse and abuse of alcohol, 
nicotine, prescription drugs (including controlled 
substances) and illicit drugs. 

Statutory Authority G.S. 90-18(13); 90-18. 1. 

.0007 EXEMPTION FROM LICENSE 

Nothing herein shall be construed to require 
licensure under 21 NCAC 320 of: 

(1 ) a physician assistant student enrolled in a 
physician assistant or surgeon assistant 
educational program accredited by the 
Board-approved accrediting agency; 

(2) a physician assistant employed ]n the 
service of the federal government while 
performing duties incident to that 
employment; or 

(3) agents or employees of physicians who 
perform delegated tasks fn the office of a 
physician but who are not rendering 
services as a physician assistant or 
identifying themselves as a physician 
assistant. 

Statutory: Authority G.S 90-18(13); 90-18.1. 

.0008 SCOPE OF PRACTICE 

Physician assistants perform medical acts, tasks 
or functions with physician supervision. Physician 
assistants perform those duties and responsibilities, 
including the prescribing and dispensing of drugs 
and medical devices, that are delegated by their 
supervising physician(s). 

Physician assistants shall be considered the 
agents of their supervising physicians in the 
performance of all practice-related activities, 
including but not limited to. the ordering of 
diagnostic, therapeutic and other medical services. 

Statutory Authority- G.S 90-18(13); 90-18.1. 

.0009 PRESCRIPTIVE AUTHORITY 

A physician assistant is authorized to prescribe, 
order, compound, dispense, and administer drugs 



1973 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



and medical devices subject to the following 
conditions: 

(1) The physician assistant has been assigned 
a license number by the Board which 
shall be shown on the written 
prescription. 

(2) The physician assistant has received from 
the supervising physician written 
instructions for prescribing drugs and a 
written policy for periodic review by the 
physician of the drugs prescribed. 

(3) For compounding and dispensing drugs, 
the physician assistant shall have made 
arrangements with a licensed pharmacist 
for consultation and general supervision, 
and shall comply with the rules of the 
N.C. Board of Pharmacy governing this 
function. 

(4) In order to prescribe controlled 
substances, the primary supervising 
physician and the physician assistant must 
sign the statement that they have read and 
understand the PEA MID-LEVEL 
PRACTITIONERS MANUAL and tjie 
information sheet provided by the Board. 
The Board also strongly suggests that the 
physician and physician assistant continue 
to update their knowledge of the 
indications for these substances and their 
abuse potentials. All prescriptions for 
substances falling within the categories 1^ 
2N, 3 and 3N shall not exceed a 
legitimate seven day supply. 

(5) The physician assistant shall comply with 
other relevant laws and regulations. 

(6) A prescription issued by a physician 
assistant shall display the name and 
telephone number of the responsible 
supervising physicians (primary or 
back-up); the name, practice address, 
telephone number, and prescribing 
number of the physician assistant, as well 
as aU information required by law. 

(7) Physician assistants may request, receive, 
and sign for professional samples and 
may distribute professional samples to 
patients complying with appropriate 
federation and state regulations. 

Statutory Authority G.S. 90-18(13); 90-18.1. 

.0010 SUPERVISION OF PHYSICIAN 
ASSISTANTS 

Supervision shall be continuous but shall not be 
construed as necessarily requiring the physical 



presence of the supervising physician at the time 
and place that the services are rendered. 

It is the obligation of each team of physician(s) 
and physician assistant(s) to ensure that the 
physician assistant's scope of practice js identified; 
that delegation of medical tasks |s appropriate to 
the physician assistant's level of competence; that 
the relationship of. and access to. the supervising 
physician js defined; and that a process for 
evaluation of the physician assistant's performance 
is established. A statement clearly describing 
these supervisory arrangements in all settings must 
be signed by both the supervising physician and 
the physician assistant and shall be kept on file at 
all practice sites. 

The time interval between the physician 
assistant's contact with the patient and chart review 
and countersigning by the supervising physician 
may be a maximum of seven days for outpatient 
(clinic/office) charts. Entries by a physician 
assistant into patient charts of inpatients (hospital, 
long term care institutions) must comply with the 
rules and regulations of the institution, but at a 
minimum, the initial workup and treatment plan, 
and the discharge summary, must be countersigned 
by the supervising physician, within seven days of 
the time of generation of these notes; and, in the 
acute inpatient setting, the initial work-up. orders 
and treatment plan must be signed and dated 



within two working days. 

Statutory Authority G.S. 90-18(13); 90-18.1. 

.001 1 SUPERVISING PHYSICIANS 

A physician wishing to supervise a physician 
assistant must: 

(1) be licensed to practice medicine by the 
Board; 

(2) notify the Board of the physician's intent 
to supervise a physician assistant; and. 

(3) submit a statement to the Board that the 
physician will exercise supervision over 
the physician assistant in accordance with 
any rules adopted by the Board and that 
the physician will retain professional and 
legal responsibility for the care rendered 
by the physician assistant. 

(4) It is the responsibility of the supervising 
physician to ensure that the physician 
assistant has adequate back-up for any 
procedure performed by the physician 
assistant, in any practice location (office, 
home, hospital, etc.). 

Statutory Authority G.S. 90-18(13); 90-18. 1. 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1974 



PROPOSED RULES 



.0012 NOTIFICATION OF INTENT TO 
PRACTICE 

(a) Prior to the performance of any medical 
acts, tasks, or functions, a physician assistant 
licensed by the Board will submit notification of 
such intent on forms provided by the Board. The 
physician assistant applicant may be provisionally 
approved by the Board's administrative staff to 
begin performing medical acts, tasks, and 
functions upon receipt of the application form in 
the Board's office subject to final approval by the 
Board. Such notification shall include: 

( 1 ) the name, practice address, and 
telephone number of the physician 
assistant; and 

(2) the name, practice address, and 
telephone number of the supervising 
physician(s). 

(b) The physician assistant shall notify the Board 
of any changes or additions in a previously 
approved practice setting or in supervising 
physicians within 15 days of the occurrence. 

(c) Intent to practice forms must be submitted 
for each additional job under a new primary 
supervising physician. 

Statutory Authority- G.S. 90-18(13); 90-18.1. 

.0013 SATELLITE SETTINGS 

Nothing contained herein shall be construed to 
prohibit the rendering of services by a physician 
assistant in a setting geographically remote from 
the supervising physician. 

Statutory Authority G.S. 90-18(13): 90-18.1. 

.0014 EXCLUSIONS OF LIMITATIONS ON 
EMPLO^TVEENT 

Nothing herein shall be construed to limit any 
lawful employment arrangement of a physician 
assistant licensed under this Subchapter. 

Statutory Authority G.S 90-18(13): 90-18.1. 

.0015 ASSUIVIPTION OF PROFESSIONAL 
LIABILITY 

The legal responsibility for the physician 
assistant's patient care activities shall be that of the 
supervising physician(s), including when the 
physician assistant provides care and treatment for 
patients in health care facilities. 

Statutory Authority G.S. 90-18(13): 90-18.1. 

.0016 VIOLATIONS 



The Board may, following the exercise of due 
process, in accordance with provisions of Article 
3A of G.S. 150B, discipline any physician 
assistant who: 

(1) fraudulently or deceptively obtains or 
attempts to obtain a license; 

(2) fraudulently or deceptively uses a license; 

(3) is convicted of a felony; 

(4) is an habitual user of intoxicants or drugs 
to such an extent that the physician 
assistant is unable to safely perform 
medical acts; 

(5) has been adjudicated as mentally 
incompetent or has a mental condition 
that renders the physician assistant unable 
to safely perform medical acts; 

(6) has committed an act of moral turpitude; 

(7) represents himself or herself as a 
physician; 

(8) any violation of the Federal Controlled 
Substances law; or 

(9) lacks professional competence to perform 
medical acts with a reasonable degree of 
skill and safety for patients. In this 
connection, the Board may consider 
action of a physician assistant indicating 
failure to properly treat a patient and may 
require such physician assistant to submit 
to inquiries or examinations, written or 
oral, by members of the Board or by 
others licensed to practice m this State, 
as the Board deems necessary to 
determine the professional qualifications 
of such licensee. 

Statutory Authority G.S 90-]4(a)(] 1): 90-18(13); 
90-18.1. 

.0017 DISCIPLINARY AUTHORITY 

The Board, upon finding that a physician 
assistant has committed any ofi"ense described in 
Rule .0017 of this Subchapter, may after due 
process: 



iii 

01 

13] 

141 



(5) 



16J 



refuse to grant a license: 
administer a reprimand; 
revoke, suspend, limit, or otherwise 
restrict a license; 

require a physician assistant to submit to 
the care or counseling or treatment by a 
physician(s) designated by the Board; 
suspend enforcement of ks finding 
thereof and place the physician assistant 
on probation with the right to vacate the 
probationary order for noncompliance; or 
restore or reissue, at its discretion, a 



1975 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



license and impose any disciplinary or 
corrective measure which it may have 
imposed. 

Statutory Authority G.S. 90-18(13); 90-18. 1. 

.0018 LOCUM TENENS PERMIT 

Locum tenens means the temporary provision of 
services at a specific site by a substitute p hysician 
assistant provider. 

The Board may grant a locum tenens permit to 
any applicant who is licensed m the state. The 
permit may be granted by an authorized represen- 
tative of the Board. Such applications for locum 
tenens permits will be reviewed at the next regu- 
larly scheduled Board meeting. The duration of a 
locum tenens permit shall be finite and shall not 
exceed six months. 

Statutory Authority G.S. 90-18(13); 90-18. 1. 

.0019 TITLE AND PRACTICE 
PROTECTION 

(a) Any person not licensed under this Subchap- 
ter is in violation of G.S. 90-18 and js subject to 
penalties applicable to the unlicensed practice of 
medicine if he or she: 

holds himself or herself out as a physi- 

cian assistant; 



12] 



uses any combination or abbreviation of 
the term "physician assistant" to indi- 
cate or imply that he or she is a physi- 
cian assistant; or 
(3) acts as a physician assistant without 
bein^ license by the Board. 
(b) An unlicensed physician shall not be permit- 
ted to use the title of "physician assistant" or to 
practice as a physician assistant unless he or she 
fulfills the requirements of this Subchapter. 

Statutory Authority G.S. 90-18(13); 90-18.1. 

.0020 IDENTIFICATION REQUIREMENTS 

Physician assistants licensed under this Subchap- 
ter shall keep proof of current licensure available 
for inspection at their primary place of practice 
and shall, when engaged in their professional 
activities, wear a name tag identifying themselves 
as a "physician assistant." 

Statutory Authority G.S 90-18(13); 90-18. 1. 

.0021 FEES 

The Board charges the following application fees: 
(1) Physician Assistant License Application - 



one hundred dollars ($100.00). 

(2) Temporary License Application - one 
hundred dollars ($100.00). 

(3) Intent to Practice Application - two hun- 
dred dollars ($200.00). 

(4) Application for Addition of Back-up 
Supervising Physicians - fifty dollars 
($50.00). 

(5) Change of Primary Supervising Physician 
Application - one hundred dollars 
($100.00). 

(6) Locum Tenens Practice Application - one 
hundred and fifty dollars ($150.00). 

(7) Annual Registration Application Fee - 
one hundred dollars ($100.00). 

Application fees are non-refundable. 

Statutory Authority G.S 90-18(13); 90-18.1. 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Real Estate 
Appraisal Board intends to adopt rules cited as 21 
NCAC 57A .0101 - .0102, .0201 - .0210, .0301 - 
.0306, .0401 - .0408, .0501; 573 .0101 - .0104, 
.0201 - .0212, .0301 -.0307, .0401 - .0403, .0501 

- .0503, .0601 - .0612; 57C.0101 - .0104, .0201. 
.0301 - .0303, and .0401. 

1 he proposed effective date of this action is July 
1. 1994 

1 he public hearing will be conducted at 10:00 
a.m. on February 16, 1994 at the North Raleigh 
Hilton, 3415 Wjke Forest Road, Raleigh, NC. 

MXeason for Proposed Action: 

21 NCAC 57 A .0101 - .0102, .0201 - .0210, 

.0301 - .0306, .0401 - .0408, .0501 - To codify 

the procedures and practice requirements of the 

North Carolina Appraisal Board regarding the 

licensure, certification, and practice of real estate 

appraisers. 

21 NCAC 57B .0101 -.0104, .0201 - .0212, .0301 

- .0307, .0401 - .0403, .0501 - .0503, .0601 - 
.0612 -To codify the procedures and practice 
requirements of the Real Estate Appraisal Board 
regarding Real Estate Appraiser Education. 

21 NCAC 57C .0101 - .0104, .0201, .0301 - 
. 0303, . 0401 - To codify the procedure and prac- 
tice requirements of the Real Estate Appraisal 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1976 



PROPOSED RULES 



Board regarding administrative rule nuiking and SECTION .0100 - APPLICATION FOR 

administrative hearings. REAL ESTATE APPRAISER 

LICENSE OR CERTIFICATE 

C^onvnent Procedures: Comments regarding these FORM 

rules may he nuide orally or submitted in writing . , • u . n r .• r 

- - '^ A person who wishes to file an application for a 

at the public hearine. Written conunents not i » . • i- _.c . 

' * real estate appraiser license or certificate may 

submitted at the hearine may he delivered to Ms. ut ■ ti.. At . . .u 

■^^ - obtain the required form upon request to the 

Anita Burt do North Carolina Real Estate Com- d ^ i i .u f n ^ • ^ 

Board, in general, the form calls for information 
mission. P.O. Bo.x 17100, Raleivh, North Carolina , ., ,■ ., , , , ,, 

■^ such as the applicant s name and address, the 

27619. so as to be received b\' the hearing date. r ♦- • i ■. u 

^ applicant s social security number, a recent pass- 

port size photograph of the applicant, places of 
CHAPTER 57 - REAL ESTATE residence and employment, education, and such 

APPRAISAL BOARD "T ~7 — I — ^ T^ \—, — T 

other information as may be necessary to identify 

the applicant and determine his qualifications and 

SUBCHAPTER 57A - LICENSING. '^ t — 7- :^fr~, 

' fitness for licensure or certification. 

CERTIFICATION AND PRACTICE 

Statutory Authority G.S. 93E-l-6(a); 93E-1-10. 

.0102 FILING AND FEES 

(a) Each application for licensure or for certification must be filed in the proper form and must be 
accompanied by the required application fee plus such additional fee as the Board may from time to time 
establish to defray the cost of any competency examination administered by a private testing service. The 
Board may reject and return to the applicant any application which is incomplete, not m proper form, or 
not accompanied by the required fee or fees. Application fees accompanying complete applications 
submitted in proper form are not refundable. 

(b) The following fees shall be charged: 

(1) application for original residential appraiser license $150.00; 

(2) application for original residential appraiser certificate $150.00; 

(3) application for original general appraiser certificate $150.00. 

(c) Payment of application fees shall be made by certified check, bank check or money order payable to 
the North Carolina Appraisal Board. 



Statutor\^ Authority- G.S. 93E-1-6; 93E-1-10. 



SECTION .0200 - APPRAISER LICENSING 
AND CERTIFICATION 

.0201 QUALIFICATIONS FOR 

APPRAISER LICENSURE AND 
CERTIFICATION 

(a) Applicants for licensure as a state-licensed 
residential real estate appraiser and for certification 
as a state-certified real estate appraiser must satisfy 
the qualification requirements stated in G.S. 93E- 
1-6 as further set forth in Subparagraphs (a)(1). (2) 
and (3) of this Rule, provided however that licen- 
sure as a state-licensed residential real estate 
appraiser is not prerequisite for certification as a 
state-certified residential or general real estate 
appraiser: 

(1) Applicants for licensure as a state-li- 
censed residential real estate appraiser 
shall have completed, within the five- 
year period immediately preceding the 



date application is made, courses [n 
Introduction to Real Estate Appraisal. 
Valuation Principles and Practices, and 
Applied Residential Property Valuation 
each consisting of at least 30 classroom 
hours of instruction, or appraisal educa- 
tion found by the Board to be equiva- 
lent to such courses; and have at least 
2.000 hours of appraisal experience. 
(2) Applicants for certification as a state - 
certified residential real estate apprais- 
er, within the five-year period immedi- 
ately preceding the date application is 
made, shall have completed those 
courses required for licensure as a 
state-licensed residential real estate 
appraiser or equivalent education and. 
in addition, a course fn Introduction to 
Income Property Appraisal consisting of 
at least 30 classroom hours of instruc- 



1977 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



tion or equivalent education; and shall 
have obtained as least 2,000 hours of 
appraisal experience acquired over a 
minimum period of two calendar years. 
(3) Applicants for certification as a state- 
certified general real estate appraiser, 
within the five-year period immediately 
preceding the date application is made, 
shall have completed those courses 
required for certification as a state- 
certified residential real estate appraiser 
or equivalent education and, in addi- 
tion, courses in Advanced Income 
Capitalization Procedures and Applied 
Income Property Valuation each con- 
sisting of at least 30 classroom hours of 
instruction or equivalent education; and 
shall have obtained at least 2,000 hours 
of appraisal experience acquired over a 
minimum period of two calendar years 
of which at least 50 percent must have 
been in appraising non-residential real 
estate. 
(h) When a state-licensed real state appraiser 
becomes certified as a state-certified real estate 
appraiser, his licensure shall be immediately 
canceled by the Board. When a state-certified 
residential real estate appraiser becomes certified 
as a state-certified general real estate appraiser, his 
certification as a state-certified residential real 
estate appraiser shall be immediately canceled by 
the Board. 

Statutory Authority G.S. 93E-1-6: 93E-1-10. 

.0202 CHARACTER 

(a) At a meeting of the Appraisal Board follow- 
ing each real estate appraiser licensing or certifica- 
tion examination, the applicants who have passed 
the examination shall be considered for licensure 
or certification. When the moral character of an 
applicant is in question, action by the Board will 
be deferred until the applicant has affirmatively 
demonstrated that he possesses the requisite truth- 
fulness, honesty and integrity. 

(b) When the moral character of an applicant js 
in question, the Board shall notify the applicant 
and the applicant shall be entitled to demonstrate 
his character and fitness for licensure or certifica- 
tion at a hearing before the Board. 

(c) Notice to the applicant that his moral charac- 
ter is in question shall be in writing, sent by 
certified mail, return receipt requested, to the 
address shown upon the application. The applicant 
shall have 60 days from the date of receipt of this 



notice to request a hearing before the Board. 
Failure to request a hearing within this time shall 
constitute a waiver of the applicant's right to a 
hearing on his application for licensing or certifi- 
cation, and the application shall be deemed denied. 
Nothing in this Rule shall be interpreted to pre- 
vent an applicant from re-applying for licensure or 
certification . 

Statutory Authority G.S. 93E-1-W. 

.0203 LICENSE AND CERTIFICATE 
RENEWAL 

(a) A holder of an appraiser license or certificate 
desiring the renewal of such license or certificate 
shall, during the month of June, apply for same m 
writing upon the form approved by the Board and 
shall forward the required fee of two hundred 
dollars ($200.00). Forms are available upon 
reques t to the Board. 

(b) All licensees and certificate holders either 
active or inactive, resident or non-resident who are 
required by G.S. 93E-1-7 to complete continuing 
education as a condition of renewal, shall be 
required to satisfy the continuing education re- 
quirements set forth m Rule .0204 of this Section. 

(c) An applicant applying for renewal of a 
license or certificate obtained by reciprocity must 
submit with the renewal application a current 
license history from the appraiser regulatory 
authority of the state upon whose qualification 
requirements the reciprocal license or certificate 
was granted showing that the applicant is currently 
licensed or certified in good standing. Submission 
of false or misleading information to the Board m 
connection with license or certificate renewal shall 
constitute grounds for disciplinary action. 

(d) Any person who acts or holds himself out as 
a state-licensed or state-certified real estate ap- 
praiser while his appraiser license or certificate is 
expired will be subject to disciplinary action and 
penalties as prescribed in Chapter 93E of the 
North Carolina G eneral Statutes. 

Statutory Authority G.S. 93E-l-7(a) and (b); 93E- 
1-10. 

.0204 CONTINUING EDUCATION 

(a) All real estate appraiser licensees and certifi- 
cate holders shall, upon the second renewal of 
their license or certificate following their initial 
licensure or certification by the Board, and upon 
each subsequent renewal, present evidence satisfac- 
tory to the Board of having obtained, within the 
immediately preceding licensing/certification 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1978 



PROPOSED RULES 



period (July _U June 30) education consisting of at 
least ten classroom hours of instruction. Addition- 
al hours of approved instruction may be carried 
forward and recognized for purposes of meeting 
the continuing education requirement only as 
provided In Paragraph (c) of this Rule. Except as 
provided in Paragraphs (f) and £g] of this Rule, 
such education must have been obtained by taking 
courses approved by the Board for continuing 
education purposes. Such education must relate to 
real estate appraisal and must contribute to the 
goal of improving the knowledge, skill and compe- 
tence of state-licensed and state-certified real estate 
appraisers. There js no exemption from the 
continuing education requirement for appraisers 
whose licensed or certified status has been upgrad- 
ed to the level of certified residential or certified 
general appraiser since the issuance or most recent 
renewal of their license or certificate, and courses 
taken to satisfy the requirements or a higher level 
of certification may not be applied toward the 
annual continuing education requirement. 

(b) Each appraisal continuing education course 
must involve a minimum of three and one-half 
classroom hours of instruction on real estate 
appraisal or related topics such as the application 
of appraisal concepts and methodology to the 
appraisal of various types of property; specialized 
appraisal techniques; laws, rules or guidelines 
relating to appraisal; standards of practice and 
ethics; building construction; financial or invest- 
ment analysis; land use planning or controls; 
feasibility analysis; statistics; accounting; and 
similar topics. The license or certificate holder 
must have attended at least 90 percent of the 
scheduled classroom hours for the course in order 
to receive credit for the course. 

(c) A licensee who elects to take approved 
continuing education courses in excess of the 
minimum requirement of ten hours per year may 
carry over into subsequent years a maximum of 20 
hours of continuing education credit. Credit for 
extra hours of approved continuing education may 
not be carried forward more than two years, and 
no credit may be applied retroactively. 

(d) Course sponsors must provide a prescribed 
certificate of course completion to each licensee 
and certificate holder satisfactorily completing a 
course. The licensee or certificate holder should 
submit the original of this certificate to the Board 
as soon as possible after completing the course and 
must submit such certificate not later than the next 
June 30 following course completion, fn order to 
renew a license or certificate in a timely manner. 
the Board must have received from the licensee or 



certificate holder proper proof of his having fully 
satisfied the continuing education requirement 
prior to processing his license or certificate renew- 
al application. If a licensee or certificate holder 
fails to provide by June 30 of any year prop er 
proof of having fully satisfied the continuing 
education requirement, his license or certificate 
will expire as of that date and he will be subject to 
the provisions of Rules .0203(d) and .0206 of this 
Section. 

(e) A course may be taken only once for contin- 
uing education credit within a three-year period. 

(f) A current or former licensee or certificate 
holder may request that the Board grant continuing 
education credit for a course taken by the licensee 
or certificate holder that is not approved by the 
Board, or for appraisal education activity equiva- 
lent to a Board-approved course, by making such 
request on a form prescribed by the Board and 
submitting a non-refundable fee of fifty dollars 



($50.00) for each course or type of appraisal 
education activity to be evaluated. Continuing 
education credit for a non-approved course will be 
granted only if the licensee or certificate holder 
provides satisfactory proof of course completion 
and the Board finds that the course satisfies the 
requirements for approval of appraisal continuing 
education courses with regard to subject matter, 
course length, instructor qualifications, and student 
attendance. Appraisal education activities for 
which credit may be awarded include, but are not 
limited to. teaching appraisal courses, authorship 
of appraisal textbooks, and development of instruc- 
tional materials on appraisal subjects. The award- 
ing of credit for such activities is wholly discre- 
tionary on the part of the Board. Licensed or 



certified appraisers who between July \ and June 
30 of the period for which continuing education 
credit is requested have taught an appraisal course 
or courses approved by the Board for continuing 
education credit will be deemed to have taken an 
equivalent course and will not be subject to the 
fifty ($50.00) fee, provided they submit verifica- 



tion satisfactory to the Board of having taught the 
course(s). 

(g) A state-licensed or state-certified residential 
real estate appraiser may fully satisfy the continu- 
ing education requirement by taking the Applied 
Residential Property Valuation (R-3) pre-licensing 
and pre-certification course, provided that he has 
not taken such course within the previous three 
years. A state-certified general real estate apprais- 
er may fully satisfy the continuing education 
requirement by taking either the Applied Residen- 
tial Valuation (R-3) pre-licensing and pre-certifica- 



1979 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



tion course or the Applied Income Property Valua- 
tion (G-3) pre-certification course, provided that he 
has not taken either of these courses within the 
previous three years. 

(h) A licensee or certificate holder may request 
in writing and be granted an extension of time to 
satisfy the continuing education requirements if he 
provides evidence satisfactory to the Board that he 
was unable to obtain the necessary education due 
to an incapacitating illness, military assignment 
outside the 50 states, or similar condition. If an 
extension of time js granted, the licensee or certifi- 
cate holder will be permitted to renew or reinstate. 
as appropriate, his license or certificate for that 
period of time for which the extension was grant- 
ed. The granting of such request and the length of 
any extension of time granted are wholly discre- 
tionary on the part of the Board. 

Statutory Authority G.S. 93E-l-7(a) and (h); 93E- 
l-8(d): 93E-1-10. 

.0205 INACTIVE STATUS 

(a) A licensee or certificate holder shall be 
assigned by the Board to inactive status upon 
written request to the Board. 

(b) A licensee or certificate holder whose ap- 
praiser license or certificate is on inactive status 
shall be returned to active status upon making a 
written request to the Board. 

(c) A licensee or certificate holder on inactive 
status shall not be entitled to act as a state-licensed 
or state-certified real estate appraiser; however, in 
order to continue to hold an appraiser license or 
certificate, the licensee or certificate holder whose 
license or certificate is on inactive status must 
renew his license or certificate, including payment 
of the prescribed renewal fee and completion of all 
continuing education. 

(d) TTie Board may take disciplinary action 
against a licensee or certificate holder on inactive 
status. 

Statutory Authority G.S. 93E-1-7; 93E-1-10. 

.0206 EXPIRED LICENSE OR 
CERTIFICATE 

(a) Expired real estate appraiser licenses and 
certificates may be reinstated within 12 months 



ing education that would have been required had 
the license or certificate been continuously re- 
newed . 

(b) Licenses and certificates expired for more 
than 12 months may be considered for reinstate- 



after expiration upon proper application, payment 
to the Board of the two hundned dollar ($200.00) 
renewal fee plus a late filing fee of five dollars 
($5.00) per month for each month or part thereof 
that such license or certificate is lapsed, and 
provision of proof of having obtained the continu- 



ment upon proper application, payment of the one 
hundred fifty dollar ($150.00) original license or 
certificate fee, payment of the sixty dollar ($60.00) 
late filing fee, and provision of proof of having 
obtained continuing education equal to the total 
number of classroom hours that would have been 
required had the license or certificate been contin- 
uously renewed. Such applications will be re- 
viewed by the Board to determine whether an 
examination and/or additional real estate appraisal 
education will be required. 

Statutory Authorit}' G.S. 93E-]-6(h), 93E-1-7: 93E- 
1-10. 

.0207 PA\TVIENT OF LICENSE AND 
CERTIFICATE FEES 

Checks given the Board in payment of real estate 
appraiser license and certificate fees which are 
returned unpaid shall be considered cause for 
license or certificate denial, suspension, or revoca- 
tion. 

Statutory Authority G.S. 93E-1-10. 

.0208 REPLACEMENT LICENSE 
OR CERTIFICATE FEE 

A licensee or certificate holder may, by filing a 
prescribed form and paying a five dollar ($5.00) 
fee to the Board, obtain a duplicate real estate 
appraiser license or certificate or pocket card to 
replace an original license certificate or pocket 
card which has been lost, damaged or destroyed or 
if the name of the licensee or certificate holder has 
been lawfully changed. The Board, at its discre- 
tion, may require a licensee or certificate holder 
requesting a duplicate license or certificate to 
submit an affidavit stating the reason for the 
request. 

Statutory Authority G.S. 93E-1-7(J); 93E-1-W. 

.0209 FEDERAL APPRAISER REGISTRY 

Licensees and certificate holders who are quali- 
fied for enrollment in the federal roster or registry 
of state-licensed and state-certified real estate 
appraisers may apply for enrollment or for the 
renewal or reinstatement of such enrollment in 
writing upon a form approved by the Board. The 
application form must be accompanied by a fee of 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1980 



PROPOSED RULES 



S20 plus any additional fee that may be required 
by the appropriate federal asency or instrumentali- 

Statutory- Authority G.S. 93E-1-W: 93E-l-l}fd). 

.0210 TEMPORARY PRACTICE 

(a) A real estate appraiser from another state 
who is licensed or certified by the appraiser 
licensing or certifying agency in such state may 
apply for registration to receive temporary' apprais- 
er licensing or certification privileges in this State 
by filing with the Board a notarized application on 
a form prescribed by the Board for such purpose 
which shall set forth and include: 

(1 ) the applicant's name, address, social 
security number and such other infor- 
mation as may be necessary to identify 
the applicant: 

an original statement by the appraiser 
licensing or certif\'ing agency in the 
applicant's resident state issued under 
seal no more than thirty days prior to 
the application date setting forth: 

(A) the applicant's name, business name 
and address; 

(B) the type license or certificate held by 
the applicant and the license or certifi- 
cate number; 

(C) the dates of licensure or certification 
and the expiration date of the 
applicant's current license or 



12} 



iDj 



certificate; 
whether or 



not the license or 



certificate wa s issued as a result of 

passing a 

examination. 



license/certification 
by reciprocity, or by 
some other means; and 
(E) a complete record of any disciplinary 
actions taken or disciplinary 
proceedings pending against the 
applicant; 

(3) an irrevocable consent that service of 
process in any action against the 
applicant arising out of the applicant's 
appraisal activities in this State may be 
made by deliven,' of the process on the 
Executi\'e Director of the Board; 

(4) a statement that the applicant has read 
and agrees to abide by all appraiser 
laws and rules iji this State and agrees 
to cooperate with any investigation 
initiated by the Board including supply- 
ing relevant documents and personally 
appearing before the Board or the 



Board's investigators: 

(5) information sufficient to identify the 
appraisal assignment to be performed 
under the temporary practice permit, 
including the projected beginning and 
ending dates for performing such ap- 
praisal assignment, but shall not require 
the applicant to di\ulge any information 
concerning the appraisal assignment 
which would breach the applicant's 
duty of confidentiality to his client 
under the provisions of the Uniform 
Standards of Professional Appraisal 
Practice; and 

(6) such other information as may be nec- 
essary to determine the applicant's 
eligibility for temporary ap praisal H^ 
censing or certification privileges in this 
State. 

(h) Upon filing a properly completed application 
accompanied by a fee of fifty dollars ($50.00) and 
otherwise satisfying the Appraisal Board as to his 
qualifications, eligibility and moral fitness for 
temporary licensing or certification privileges, an 
applicant shall be granted a temporary practice 
permit by the Board authorizing the applicant to 
perform jn this State the appraisal assignment 
described in such application, provided that the 
length of time projected by the applicant for 
completion of the assignment is reasonable given 
the scope and complexity of the assignment. 

(c) Licensing and certification privileges granted 
under the provisions of this Rule shall expire upon 
the completion of the appraisal assignment de- 
scribed in the application for temporary licensing 
or certification privileges or on the expiration date 
set forth in the temporary practice permit, which- 
ever shall come first. However, upon a showing 
by the permittee satisfactory to the Appraisal 
Board that, notwithstanding the permittee's diligent 
attention to the appraisal assignment, additional 
time is needed to complete the assignment, the 
Board shall extend the licensing or certification 
privileges granted under the permittee's temporary 
practice permit to afiFord him additional time to 
complete the appraisal assignment. 

(d) Persons granted temporan,' licensing or 
certification privileges under this Rule shall not 
advertise or otherwise hold themselves out as 
being a North Carolina state-licensed or state - 
certified appraiser. 

Statutory Authority- G.S 93E-l-9(c) and (d); 93E- 
1-10; Title XI, Section 1122(a); 12 U.S.C. 
3351 fa). 



1981 



8:20 



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January 14, 1994 



PROPOSED RULES 



SECTION .0300 - APPRAISER 
EXAMINATIONS 

.0301 TIME AND PLACE 

Examinations for real estate appraiser licenses 
and certificates will be scheduled at such times and 
places as determined by the Executive Director 
and the Board-approved private testing service. 
Applicants will be scheduled for examination based 
on their successful completion of appraiser qualifi- 
cation requirements stated in G.S. 93E-1-6 and 
filing an application with the Board. Violation of 
examination procedures and instructions shall be 
grounds for denial, suspension or revocation of a 
license or certificate. 

Statutory Authority G.S. 93E-l-6(c); 93E-1-W. 

.0302 SUBJECT MATTER AND 
PASSING SCORES 

(a) The examination for licensure as a state- 



licensed real estate appraiser and for certification 
as a state-certified residential real estate appraiser 
shall test applicants on the following subject areas: 



Influences on Real Estate Value; 
Legal Considerations in Appraisal: 
Types of Value; 
Economic Principles; 
Real Estate Markets and Analysis; 
Valuation Process; 
Property Description: 
Highest and Best Use Analysis; 
A ppraisal Statistical Concepts; 
Sales Comparison Approach; 
Site Value; 
Cost Approach; 

Income Approach (Gross Rent Multipli- 
ers. Estimation of Income and Expens- 
es. Operating Expense Ratios); 
Valuation of Partial Interests; and 
Appraisal Standards and Ethics. 

(b) In addition to the subjects areas listed in 
Paragraph (a) of this Rule, the examination for 
certification as a state-certified general real estate 
appraiser shall test applicants on the following 
subject areas: 

(1) Direct Capitalization; 

(2) Cash Flow Estimates; 

(3) Measures of Cash Flow; and 

(4) Discounted Cash Flow Analysis. 

(c) Prior to taking the examination, applicants 
will be informed of the score required to pass. 
Applicants who pass the examination will only be 
notified that they have passed . Applicants who 



ill 
12] 
13) 
i41 
15] 
16] 

01 

18] 
£9] 
(10) 

Oi] 
(12) 
(13) 



(14) 
(15) 



have failed will be informed of their actual score. 
Statutory Authority G.S. 93E-l-6(c); 93E-1-10. 

.0303 RE-EXAJVUNATION 

If an applicant for a real estate appraiser license 
or certificate fails to pass or appear for any exami- 
nation for which he has been scheduled by the 
Board-approved private testing service, he shall re- 
apply for examination and shall pay the prescribed 
examination testing fees to the Board-approved 
private testing service. 

Statutory Authority G.S. 93E-l-6(b) and (c); 93E- 
1-10. 

,0304 CHEATING AND RELATED 
MISCONDUCT 

Applicants shall not cheat or attempt to cheat on 
an examination by any means, including both 
giving and receiving assistance, and shall not 
communicate in any manner for any purpose with 
any person other than an examination supervisor 
during an examination. Violation of this Rule 
shall be grounds for dismissal from an examina- 
tion, invalidation of examination scores, and denial 
of a real estate appraiser license or certificate, as 
well as for disciplinary action if the applicant holds 
an appraiser license or certificate. 

Statutory Authority G.S 93E-l-6(c); 93E-1-10. 

.0305 CONFIDENTIALITY OF 
EXAMINATIONS 

Licensing and certification examinations are 
confidential. No applicant, licensee, or certificate 
holder shall obtain, attempt to obtain, receive or 
communicate to other persons examination ques- 
tions. Violation of this Rule shall be grounds for 
denial of a real estate appraiser license or certifi- 
cate if the violator is an applicant and disciplinary 
action if the violator holds an appraiser license or 
certificate. 

Statutory Authority G.S 93E-l-6(c); 93E-1-10. 

.0306 EXAMINATION REVIEW 

(a) An applicant who fails an examination may 
review his examination in the presence of a Board- 
designated representative. Applicants who review 
their examinations may not be accompanied by any 
other person at a review session, nor may any 
other person review an examination on behalf of 
an applicant. Applicants who pass an examination 
may not review their examinations. 



8:20 



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January 14, 1994 



1982 



PROPOSED RULES 



(b) TTie Board will establish and publish a 
schedule for examination review. An applicant 
who fails to review his examination at the 
established date and time will be deemed to have 
waived his right to review his examination. 

Statutory Authority G.S. 93E-l-6(c); 93E-1-10. 

SECTION .0400 - GENfERAL APPRAISAL 
PRACTICE 

.0401 USE OF TITLES 

(a) A state-licensed residential real estate 
appraiser shall utilize the term "state-licensed 
residential real estate appraiser" and a state - 
certified residential real estate appraiser shall 
utilize the term "state-certified residential real 
estate appraiser" when performing an appraisal of 
real estate or any interest therein, and when 
referring to himself as an appraiser. A state- 
certified general real estate appraiser shall utilize 
either the term "state-certified general real estate 
appraiser" or "state-certified residential/general 
real estate appraiser" when performing appraisals 
of all types of real estate or any interest therein, 
and when referring to himself as an appraiser. 

(b) Licensure or certification as a real estate 
appraiser is granted only to persons and does not 
extend to a business entity operated by a state- 
licensed or state-certified real estate appraiser. 

Statutory Authority G.S. 93E-1-10. 

.0402 DISPLAY OF LICENSES 
ANT) CERTIFICATES 

(a) The real estate appraiser license or certificate 
of a state-licensed or state-certified real estate 
appraiser shall be prominently displayed at the 
appraiser's place of business, provided that the 
license or certificate of a managing appraiser and 
the license or certificate of each licensee or 
certificate holder engaged in real estate appraisal 
acti\'ities at the office of the managing appraiser 
shall be prominently displayed at such office. 

(b) The annual license or certificate renewal 
pocket card issued by the Board to each state - 
licensed or state-certified real estate appraiser shall 
be retained by the licensee or certificate holder as 
evidence of licensure or certification. 

Statutory Authority G.S. 93E-1-10. 

.0403 ADVERTISING 

(a) When advertising or otherwise holding 
himself out as a real estate appraiser, a state - 



licensed residential real estate appraiser shall 
identify himself as a "state-licensed residential real 
estate appraiser", a state-certified residential real 
estate appraiser shall identify himself as a "state- 
certified residential real estate appraiser", and a 
state-certified general real estate appraiser shall 
identify himself as either a "state-certified general 
real estate appraiser" or a "state-certified residen- 
tial/general real estate appraiser ". 

(b) A state-licensed or state-certified real estate 
appraiser doing business as a partnership, associa- 
tion, corporation or other business entity shall not 
represent in any manner to the public that the 
partnership, association, corporation or other 
business entity is either licensed or certified by the 
State of North Carolina to engage in the business 
of real estate appraising. 

(c) In the event that any licensee or certificate 
holder shall advertise in any manner using a firm 
name, corporate name, or an assumed name which 
does not set forth the surname of the licensee or 
certificate holder, he shall first notify' the Board in 
writing of such name and furnish the Board with a 
copy of each registration of assumed name certifi- 
cate filed with the office of the county register of 
deeds in compliance with Section 66-68, North 
Carolina General Statutes. 

Statutory Authority G.S. 93E-1-10. 

.0404 CHANGE OF NAME OR 
ADDRESS 

All licensees and certificate holders shall notify 
the Board in writing of each change of business 
address, residence address, or trade name within 
ten days of said change. The address shall be 
sufficiently descriptive to enable the Board to 
correspond with and locate the licensee or certifi- 
cate holder. 

Statutory- Authority G.S 93E-1-I0. 

.0405 APPRAISAL REPORTS 

(a) Each written appraisal report prepared by or 
under the direction of a state-licensed or state- 
certified real estate appraiser shall bear the signa- 
ture of the state-licensed or state-certified apprais- 
er, the license or certificate number of the licensee 
or certificate holder in whose name the appraisal 
report is issued, and the designation "state-licensed 
residential real estate appraiser", "state-certified 
residential real estate appraiser", or the designation 
"state-certified general real estate appraiser", or 
"state-certified residential/general real estate 
appraiser", as applicable. Each such appraisal 



1983 



8:20 



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January 14, 1994 



PROPOSED RULES 



report shall also indicate whether or not the state- 
licensed or state-certified appraiser has personally 
inspected the property, and shall identify any other 
person who assists in the appraisal process other 
than by providing clerical assistance. 

(b) Every state-licensed and state-certified real 
estate appraiser shall affix or stamp to all appraisal 
reports a seal of a design authorized by the Board 
which shall set forth the name and license or 
certificate number of the appraiser in whose name 
the appraisal report is issued and shall identify the 
appraiser as a "state-licensed residential real estate 
appraiser", a "state-certified residential real estate 
appraiser", or as a "state-certified general real 
estate appraiser" or "state-certified residential/- 
general real estate appraiser", as applicable. 

(c) A state-licensed or state-certified real estate 
appraiser who signs an appraisal report prepared 
by another person, including a subcontractor, 
acting under the direction or supervision of the 
appraiser shall be fully responsible for the content 
of the report. 

(d) A written appraisal report shall be issued on 
all real estate appraisals performed in connection 
with federally related transactions. 

Statutory Authority G.S. 93E-1-10. 

.0406 MANAGING APPRAISER 

(a) A "managing appraiser" shall be designated 
with the Board for each appraisal firm and each 
combined real estate brokerage and appraisal firm 
for which real estate appraisals are performed by: 

(1) two or more state-licensed or state- 
certified real estate appraisers who are 
employed by or associated with the 
firm; or 

(2) unlicensed or uncertified assistants, 
other than clerical employees, who are 
employed by or associated with the firm 
and who assist a state-licensed or state - 
certified real estate appraiser in the 
performance of real estate appraisals. 

If one or more state-certified general real estate 
appraisers is employed by or associated with the 
firm, the managing appraiser must be a state- 
certified general real estate appraiser. If one or 
more state-certified residential real estate apprais- 
ers is employed by or associated with the firm, the 
managing appraiser must be a state-certified 
residential or general real estate appraiser. If only 
state-licensed residential real estate appraisers are 
employed by or associated with the firm, the 
managing appraiser may be a state-licensed resi- 
dential real estate appraiser. 



(b) The designated managing appraiser shall be 
responsible for: 

(1) the proper display of licenses and cer- 
tificates of all state-licensed and state- 
certified real estate appraisers employed 
by or associated with the firm, and 
ascertaining whether each licensee or 
certificate holder employed by or asso- 
ciated with the firm has complied with 
Rule .0203 of this Subchapter; 

(2) the proper notification to the Board of 
any change of business address or trade 
name of the firm and the registration of 
any assumed business name adopted by 
the firm for its use; 

(3) the proper conduct of advertising of 
appraisal services by or in the name of 
the firm; 

(4) the proper retention and maintenance of 
records relating to appraisals conducted 
by or on behalf of the firm; 

(5) the maintenance of a record for each of 
the firm's unlicensed and uncertified 
assistants that generally describes the 
nature and extent of assistance rendered 
in connection with each appraisal; and 

(6) the maintenance of a record for each of 
the firm's state-licensed and state-certi- 



fied residential real estate appraisers 
that generally describes the nature and 
extent of assistance rendered by the 
state-licensed residential real estate 
appraiser when assisting a state-certified 
residential or general real estate ap- 
praiser and any assistance rendered by 
the state-certified residential real estate 
appraiser when assisting a state-certified 
general real estate appraiser in perform- 
ing an appraisal. 
No license or certificate holder shall be managing 
appraiser of more than one appraisal firm or 
combined real estate brokerage and appraisal firm. 
(c) Each managing appraiser shall notify the 
Board in writing of any change in his status as 
managing appraiser within ten days following the 
change. 

Statutory Authority G.S 93E-1-10. 

.0407 SUPERVISION OF UNLICENSED 
AND UNCERTIFIED ASSISTANTS 

A state-licensed or state-certified real estate 
appraiser may employ a person or persons not 
licensed or certified as a real estate appraiser to 
assist in the performance of real estate appraisals. 



8:20 



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January 14, 1994 



1984 



PROPOSED RULES 



provided that the state-licensed or state-certified 
real estate appraiser: 

( 1 ) actively and personally supervises the 
unlicensed and uncertified assistant; 

(2) reviews all appraisal reports and support- 
ing data used in connection with apprais- 
als in which the services of an unlicensed 
and uncertified assistant [s utilized; 

(3) complies with all provisions of Rule 
.0405 of this Section regarding appraisal 
reports; and 

(4) prepares and furnishes to the managing 
appraiser, if applicable, and to each 
unlicensed and uncertified assistant whose 
services were utilized in connection with 
the appraisal, a report on a form pre- 
scribed by the Board describing the na- 
ture and extent of assistance rendered by 
the unlicensed and uncertified assistant in 
connection with the appraisal, and places 
a copy of such report in the supporting 
file for the appraisal. 

Statutory Authority G.S. 93E-l-3(h): 93E-1-10. 

.0408 SUPERVISION OF LICENSED 

AND CERTIFIED RESIDENTIAL 
APPRAISERS 

(a) When a state-licensed residential real estate 
appraiser assists a state-certified residential or 
general real estate appraiser m the performance of 
a real estate appraisal and the resulting appraisal 
report is to be signed by the state-certified real 
estate appraiser, the state-certified real estate 
appraiser shall: 

(1) actively and personally supervise the 
state-licensed real estate appraiser; 

(2) review the appraisal report and support- 
ing data used in connection with the 
appraisal; 

(3) comply with all provisions of Rule 
■0405 of this Section regarding apprais- 
al reports; and 

(4) prepare and furnish to the managing 
appraiser, if applicable, and to each 
state-licensed real estate appraiser 
whose services were utilized in connec- 



tion with the appraisal, a report on a 
form prescribed by the Board describ- 
ing the nature and extent of assistance 
rendered by the state-licensed real 
estate appraiser in connection with the 
appraisal, and place a copy of such 
report in the supporting file for the 
appraisal. 



(b) When a state-certified residential real estate 
appraiser assists a state-certified general real estate 
appraiser in the performance of a real estate 
appraisal and the resulting appraisal report is to be 
signed by the state-certified general real estate 
appraiser, the state-certified general real estate 
appraiser shall perform those supervisory acts set 
forth in Paragraph (a) of this Rule with regard to 
the activities of the state-certified residential real 
estate appraiser. 

Statutory Authority G.S. 93E-1-10. 

SECTION .0500 - STANDARDS OF 
APPRAISAL PRACTICE 

.0501 APPRAISAL STANDARDS 

(a) Every state-licensed and state-certified real 
estate appraiser shall, in performing the acts and 
services of a state-licensed or state-certified real 
estate appraiser, comply with those appraisal 
practice standards known as the "Uniform Stan- 
dards of Professional Appraisal Practice" promul- 
gated by the Appraisal Standards Board of the 
Appraisal Foundation, which standards, including 
subsequent amendments and editions of those 
standards which may from time to time be ap- 
proved, are hereby adopted by reference in accor- 
dance with G.S. 150B-21 .6. For the purpose of 
this Rule, the "Uniform Standards of Professional 
Appraisal Practice" shall include the Preamble, 
Ethics Provision, Competency Provision, Depar- 
ture Provision, Jurisdictional Exception, Defini- 
tions, Supplemental Standards, Statements on 
Appraisal Standards, and Standards j^ 2_j and 3^ 

(b) A copy of the portions of the "Uniform 
Standards of Professional Appraisal Practice" 
specified m Paragraph (a) of this Rule is included 
in the Board's Licensing and Certification booklet 
available free of charge. 

Statutory Authority G.S. 93E-1-10. 

SUBCHAPTER 57B - REAL ESTATE 
APPRAISAL EDUCATION 

SECTION .0100 - COURSES 

REQUIRED FOR LICENSURE 

OR CERTIFICATION 

.0101 LICENSED RESIDENTIAL REAL 
ESTATE APPRAISER COURSE 
REQUIREMENTS 

Each applicant for licensure as a state-licensed 
residential real estate appraiser shall complete the 



1985 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



following prelicensure courses, each consisting of 
a minimum of 30 classroom hours: 

(1) Introduction to Real Estate Appraisal (R- 

hi 

(2) Valuation Principles and Procedures (R- 
2); and 

(3) Applied Residential Property Valuation 

(R-3). 

Credit for these courses must be earned from a 
Board-approved course sponsor or school and all 
courses shall comply with the course content 
standards prescribed in Rule .0302 of this Sub- 
chapter. These courses must be commenced and 
completed sequentially in the order listed and 
within the five-year period immediately preceding 
the date application for licensure js made to the 
Board. 

Statutory Authority G.S. 93E-l-6(a); 93E'l-8(a); 
93E-1-10. 

.0102 CERTIFIED RESIDENTIAL 
REAL ESTATE APPRAISER 
COURSE REQUIREMENTS 

(a) In addition to the courses specified in Rule 
.0101 of this Section, an applicant for certification 
as a state-certified residential real estate appraiser 
is required to complete the following 
precertification course involving a minimum of 30 
classroom hours: Introduction to Income Property 
Appraisal (G-1). TTiis course must be taken after 
the applicant's successful completion of the 
prelicensing courses specified in Rule .0101 of this 
Section. Credit for this course must be earned 
from a Board-approved course sponsor or school, 
and all courses must be completed sequentially in 
the order listed. 

(b) An applicant who is not a state-licensed 
residential real estate appraiser must have complet- 
ed all required courses within the five-year period 
immediately preceding the date application is made 
to the Board. 

(c) An applicant who is a state-licensed residen- 
tial real estate appraiser must have completed the 
required 30 classroom hour course in Introduction 
to Income Property Appraisal (G-1) within the 
five-year period immediately preceding the date 
application is made to the Board. 

Statutory Authority G.S 93E-l-6(h); 93E-l-8(a); 
93E-1-I0. 



(a) In addition to the courses specified in Rules 
.0101 and .0102 of this Section, an applicant for 
certification as a state-certified general real estate 
appraiser is required to complete the following 
precertification courses, each involving a minimum 
of 30 classroom hours: 

(1) Advanced Income Capitalization (G-2); 
and 

(2) Applied Income Property Valuation (G- 
31 

These courses must be commenced and completed 
sequentially in the order listed after the applicant's 
successful completion of the courses specified in 
Rules .0101 and .0102 of this Section. Credit for 
all courses must be earned from a Board-approved 
course sponsor or school, and all courses shall 
comply with the course content standards pre- 
scribed in Rule .0302 of this Subchapter. 

(b) An applicant who is not a state-licensed or 
state-certified residential real estate appraiser must 
have completed all the required courses within the 
five-year period immediately preceding the date 
application is made to the Board. 

(c) An applicant who is a state-licensed or state- 
certified residential real estate appraiser must have 
commenced and completed all courses required 
beyond those required for his current licensure or 
certification within the five-year period immediate- 
ly preceding the date application is made to the 
Board. 

Statutory Authority G.S. 93E-l-6(c); 93E-l-8(a); 
93E-1-10. 

.0104 COURSE EXEMPTIONS FOR 
EQUIVALENT EDUCATION 

A person desiring an exemption from the course 
requirements stated in Rules .0101, .0102 and 
.0103 of this Section must make application for 
exemption upon a form prescribed by the Board. 
The Board will grant exemptions only upon a 
finding that the person requesting the exemption 
possesses education determined by the Board to be 
equivalent to the course or courses for which 
exemption is requested. 

Statutory Authority G.S. 93E-l-6(a): 93E-1-10. 

SECTION .0200 - COURSE SPONSOR 

STANDARDS FOR PRELICENSING 

AND PRECERTIFICATION EDUCATION 



.0103 CERTIFIED GENERAL REAL 
ESTATE APPRAISER COURSE 
REQUIREMENTS 



.0201 PURPOSE AND APPLICABILITY 

This Section establishes minimum standards for 
approval of all real estate appraisal prelicensing 



8:20 



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January 14, 1994 



1986 



PROPOSED RULES 



and precertification course sponsors and schools. 
These standards must be satisfied in order for 
course sponsors and schools to obtain and maintain 
approval of their courses for appraiser prelicensinp 
and precertification education credit. Schools and 
course sponsors must obtain course approval from 
the Board prior to conducting prelicensing and 
precertification courses and prior to advertising or 
otherwise representing that a course is or may be 
approved for credit in North Carolina. 

Statutory Authority' G.S. 93E-l-8(a); 93E-1-10. 

.0202 APPLICATION FOR APPROVAL 

Schools and other course sponsors seeking 
approval to conduct real estate appraisal 
prelicensing courses or precertification courses 
must make written application to the Board upon 
a form prescribed by the Board. 

Statutory Authority G.S 92E-]-8(a): 93E-1-10. 

.0203 CRITERIA FOR APPROVAL 

Approval to conduct real estate appraisal 
prelicensing and/or precertification courses shall be 
granted to a school or course sponsor when it is 
shown to the satisfaction of the Board that: 

(1) the school or course sponsor has 
submitted all information required by the 
Board; 

(2) the school or course sponsor complies 
with the standards described in this 
Section; and 

(3) the courses to be conducted comply with 
the standards described in Section .0300 
of this Subchapter. 

Statutory Authority G.S 93E-l-8(a): 93E-1-10. 

.0204 FACILITIES AND EQUIPMEIVT 

(a) Sponsors shall certify at the time of 
application for approval that classrooms shall be of 
sufficient size to accommodate comfortably all 
students enrolled in a course, shall have adequate 
light, heat, cooling and ventilation and shall be 
free of distractions which would disrupt class 
sessions. 

(b) Classrooms shall contain, at a minimum, a 
chalkboard and student desks or worktables 
sufficient to accommodate all students enrolled in 
a course. 

Statutory Authority G.S. 93E-I-8(a); 93E-1-10. 

.0205 ENROLLMENT CONTRACTS 



Schools and course sponsors shall execute a 
written contract with each student enrolled and 
shall provide a copy of such contract to the 
student. Such contract shall state the amount of 
tuition and fees paid, the school's policy regarding 
refund of tuition and fees, and the title and dates 
of the courses for which the student is enrolled. 

Statutory Authority G.S 93E-l-8(a); 93E-1-10. 

.0206 ADMISSIONS POLICY AND 
PRACTICE 

Schools and course sponsors shall not 
discriminate in their admissions policy, practice or 
general operations against any person on the basis 
of familial status, sex, race, color, creed, national 
origin, religious preference or handicap. A 
statement to this effect shall be included in all 
bulletins. catalogues or similar official 
publications. 

Statutory Authority G.S 93E-l-8(a); 93E-1-10. 

.0207 ADMINISTRATION 

One person must be designated as the director 
for each approved school or course sponsor and 
shall be responsible for administrative matters. 
The director shall ensure that the policies and 
general operations of the school or course sponsor 
comply with the provisions of Sections .0200 and 
.0300 of this Subchapter. The director must be 
possessed of good character and reputation. 

Statutory Authority G.S 93E-]-8(a); 93E-1-10. 

.0208 ACCOMMODATIONS FOR 

PERSONS WITH DISABILITIES 

TTie Board may suspend, revoke or deny renewal 
of approval of a private real estate school or 
course sponsor to conduct appraiser prelicensing 
and precertification courses upon finding that any 
court of competent jurisdiction has found the 
school or course sponsor official or instructor in 
the employ of the school or course sponsor to be 
in violation of any applicable federal or state law 
or regulation prohibiting discrimination on the 
basis of disability, requiring places of public 
accommodation to be in compliance with 
prescribed accessibility standards, or requiring that 
courses related to licensing or certification for 
professional or trade purposes be ofiFered in a place 
and manner accessible to persons with disabilities. 

Statutory Authority G.S 93E-l-8(a); 93E-1-10. 



1987 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



.0209 CERTIFICATION OF COURSE 
COMPLETION 

Approved schools or course sponsors must 
provide each passing student with a course 
completion certificate in a format prescribed by 
the Board. Certificates of course completion must 
be on an official document bearing the letterhead 
or insignia of the school or course sponsor and 
must have the original signature or signature stamp 
of the school or course sponsor director. 

Statutory Authority G.S. 93E-l-8(a): 93E-1-10. 

.0210 COURSE RECORDS 

(a) Schools and course sponsors must retain on 
file for three years copies of all grade and 
attendance records for each approved course and 
must make such records available to the Board 
upon request. 

(b) Schools and course sponsors must retain on 
file for two years a master copy of each final 
course examination, and such file copy shall 
indicate the answer key, course title, course dates 
and name of instructor. Examination file copies 
shall be made available to the Board upon request. 

Statutory Authority G.S. 93E-l-8(a); 93E-1-10. 

.0211 PROGRAM CHANGES 

Approved schools and course sponsors must 
obtain advance approval from the Board for any 
changes to be made with respect to course content, 
course completion standards, instructors, or 
textbooks as prescribed in Section .0300 of this 
Subchapter. Requests for approval of such changes 
must be in writing. 

Statutory Authority G.S. 93E-l-8(a); 93E-1-W. 

.0212 WITHDRAWAL OR DENIAL 
OF BOARD APPROVAL 

The Board may deny or withdraw approval of 
any school or course sponsor upon finding that: 

(1) the school or course sponsor director has 
refused or failed to comply with any of 
the provisions of Sections .0200 and 
.0300 of this Subchapter; 

(2) the school or course sponsor has made 
any false statements or presented any 
false information jn connection with an 
application for Board approval or renewal 
of the sponsor or its courses; or 

(3) the school or course sponsor director has 
performed any act which constitutes 
improper. fraudulent. or dishonest 



conduct. 

Statutory Authority G.S. 93E-l-8(a): 93E-1-10. 

SECTION .0300 - COURSE STANDARDS 

FOR PRELICENSING AND 

PRECERTIFICATION EDUCATION 

.0301 PURPOSE 

This Section establishes minimum standards for 
real estate appraisal prelicensing and 
precertification courses prescribed by G.S. 93E-1- 
6iaL 

Statutory Authority G.S 93E-l-8(a); G.S. 93E-1- 
10. 

.0302 COURSE CONTENT 

(a) All courses shall consist of instruction in the 
subject areas and at the competency and 
instructional levels prescribed in the Board's 
course syllabi. Copies of the syllabi are available 
free of charge upon request to the Board. 

(b) Courses may also include coverage of 



additional related subject areas not prescribed by 
the Board; however, any such course must provide 
additional class time above the minimum 
requirement of the 30 classroom hours for the 
coverage of such additional subject areas. 

(c) Classroom time and instructional materials 
may be utilized for instructional purposes only and 
not for promoting the interests of or recruiting 
employees for any particular real estate appraiser, 
appraisal firm or appraisal trade organization. 

Statutory Authority G.S 93E-l-6(a), (b),(c); 93E- 
l-8(a): 93E-1-10. 

.0303 COURSE COMPLETION 
STANDARDS 

(a) Academic standards for course completion 
must reasonably assure that students receiving a 
passing grade possess adequate knowledge and 
understanding of the subject areas prescribed for 
the course. A student's grade must be based 
solely on his or her performance on examinations 
and on graded homework and classwork 
assignments. 

(b) Course completion requirements must 
include a comprehensive final course examination 
which covers all prescribed subject areas and 
which accounts for at least 50 percent of a 
student's grade for the course. Final course 
examinations are subject to review and approval by 
the Board. Take-home or open-book final course 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1988 



PROPOSED RULES 



examinations are prohibited. Schools and course 
sponsors may, within 90 days of the course ending 
date, allow a student one opportunity to make up 
any missed course examination or to retake any 
failed course examination without repeating the 
course. 

(c) The minimum attendance required for 
satisfactory course completion is 80 percent of all 
scheduled classroom hours for the course. 

Statutory Authority G.S. 93E-l-8(a); 93E-1-10. 

.0304 COURSE SCHEDULING 

(a) All courses must have fixed beginning and 
ending dates, and schools and course sponsors may 
not utilize a scheduling system that allows students 
to enroll late for a course and then complete their 
course work in a subsequently scheduled course. 
Late enrollment is permitted only if the enrolling 
student can satisfy the minimum attendance 
requirement set forth in Rule .0303(c) of this 
Section. 

(b) Courses may be scheduled in a manner that 
provides for class meetings of up to eight 
classroom hours in any given day and 40 
classroom hours in any given seven-day period; 
however equivalent credit for courses scheduled 
for more than 30 classroom hours per seven-day 
period will be limited to 30 classroom hours per 
seven-day period. 

(c) A classroom hour consists of 50 minutes of 
classroom instruction and ten minutes of break 
time. For any class meeting that exceeds 50 
minutes in duration, breaks at the rate of ten 
minutes per hour must be scheduled and taken at 
reasonable times. 

Statutory- Authority G.S. 93E-l-8(a): 93E-1-10. 

.0305 TEXTBOOKS 

Each course must utilize a textbook or course 
materials which are approved by the Board as well 
as any additional instructional materials which may 
be prescribed by the Board for such course. 

Statutory Authority G.S. 93E-l-8(a): 93E-1-10. 

.0306 INSTRUCTOR REQLTREMENTS 

(a) Except as indicated in Paragraph fb) of this 
Rule, all appraisal prelicensing and precertification 
courses or courses deemed equivalent by the Board 
must be taught by instructors who possess good 
moral character and reputation and either the 
minimum appraisal education and experience 
qualifications listed in this Rule or other qualifica- 



tions that are found by the Rule to be equivalent to 
those listed. These qualification requirements must 
be met on a continuing basis. The minimum 
qualifications are as follows: 

(1) Residential appraiser courses: 120 
classroom hours of real estate appraisal 
education equivalent to the residential 
appraiser education courses prescribed 
in Rules .0101 and .0102 of this Sub- 
chapter and either two years' full-time 
experience as a residential real estate 
appraiser within the previous five years 
or three years' full-time experience as 
a general real estate appraiser within 
the previous five years, with at least 
one-half of such experience being in 
residential property appraising. Instruc- 
tors must also be either state-certified 
residential or state-certified general real 
estate appraisers. 

(2) General appraiser courses: 180 class- 
room hours of real estate appraisal 
education equivalent to the general 
appraiser education courses prescribed 
in Rules .0101, .0102 and .0103 of this 
Subchapter and three years' full-time 
experience as a general real estate 
appraiser within the previous five 
years, with at least one-third of such 
experience being in income property 
appraising. Instructors must also be 
state-certified general real estate ap- 
praisers. 

fb) Guest lecturers who do not possess the 
qualifications stated in Paragraph (a) of this Rule 
may be utilized to teach collectively up to 
one-third of any course, provided that each guest 
lecturer possesses education and experience 
directly related to the particular subject area he is 
teaching. 

Statutory Authority G.S. 93E-]-8(a); 93E-1-10. 

.0307 CRITERIA FOR COUTiSE 
RECOGNITION 

(a) Entities other than approved schools and 
course sponsors seeking recognition of their 
appraiser prelicensing or precertification courses as 
equivalent to the North Carolina appraisal 
prelicensing or precertification courses required by 
G.S. 93E-1-6 and specified in Rules .0101. .0102 
and .0103 of this Subchapter must make written 
application to the Board on a form prescribed by 
the Board. 

(b) Courses must be conducted in accordance 



1989 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



with the minimum course standards prescribed in 
this Section, provided that the following exceptions 
to those standards shall apply: 

(1) Courses may be structured differently 
from those course content requirements 
prescribed in the Board's course sylla- 
bi; however, appropriate prerequisites 
for advanced courses must be estab- 
lished and each course for which Board 
recognition is sought must consist of a 
minimum of J_5 classroom hours. 

(2) Various combinations of courses may 



be recognized as equivalent to single 
North Carolina appraisal prelicensing 
and precertification courses; however, 
equivalent credit will only be granted in 
increments of 30 classroom hours. 



applications for renewal of Board approval, ac- 
companied by the prescribed renewal fee, must be 
filed with the Board annually on or before June _L 
All applications for renewal of course approval 
received on or before June 30 which are incom- 
plete as of that date, as well as all applications for 
renewal of course approval submitted after June 
30, shall be treated as original course approval 
applications. 

(b) The annual fee for renewal of Board approv- 
al shall be fifty dollars ($50.00) for each course 



for which renewal of Board approval is requested. 
The fee shall be paid by check payable to the 



North Carolina Appraisal board and js non-refund- 
able. 

Statutory Authority G.S. 93E-]-8(a).(h): 93E-1-10. 



Statutory Authority G.S 93E-l-8(a); 93E-1-10. 

SECTION .0400 - COURSE SPONSOR 

FEES FOR PRELICENSING AND 

PRECERTIFICATION EDUCATION 



SECTION .0500 - PRIVATE REAL ESTATE 

APPRAISAL SCHOOL FEES FOR 

PRELICENSING AND 

PRECERTIFICATION 

EDUCATION 



.0401 APPLICABILITY 

This Section applies to aU course sponsors other 
than private real estate appraisal schools. North 
Carolina colleges, universities, junior colleges, 
community or technical colleges accredited by the 
Southern Association of Colleges and Schools, and 
agencies of the federal. State or local government. 

Statutory Authority G.S 93E-1-8 (a),(h); 93E-1- 
10. 

.0402 ORIGINAL COURSE APPROVAL 
FEE 

The original application fee shall be three hun- 
dred dollars ($300.00) for each course which the 
Board is being requested to evaluate and recog- 
nize. The fee shall be paid by certified check, 
bank check or money order payable to the North 
Carolina Appraisal Board and is non-refundable. 
A course sponsor may offer approved courses as 
frequently as is desired during the period for 
which approval is granted without paying addition- 
al course fees. 

Statutory Authority G.S 93E-l-6(a).(b); 93E-1-I0. 

.0403 FEE FOR RENEWAL OF COURSE 
APPROVAL 

(a) Board approval of courses expires on the 
next June 30 following the date of issuance, in 
order to assure continuous approval of courses. 



.0501 APPLICABILITY 

This Section applies to aM private real estate 
appraisal schools offering prelicensing and 
precertification courses. 

Statutory Authority G.S 93E-l-8(a).(h); 93E-1-10. 

.0502 ORIGINAL COURSE APPROVAL 
FEE 

The original application fee shall be forty dollars 
($40. (X)) for each real estate appraisal prelicensing 
or precertification course for which the applicant 
requests approval. The fee shall be paid by 
certified check, bank check or money order 
payable to the North Carolina Appraisal Board and 
is non-refundable. The school may offer approved 
courses as frequently as is desired during the 
course approval period without paying additional 
course fees. 

Statutory Authority G.S93E-l-8(a).(b); 93E-1-10. 

.0503 FEE FOR RENEWAL OF COURSE 
APPROVAL 

(a) A pproval of private school courses expires 
on the next June 30 following the date of issuance. 
In order to assure continuous approval, 
applications for renewal of course approval, 
accompanied by the prescribed renewal fee, must 
be filed with the Board annually on or before June 
_L All applications for renewal of course approval 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1990 



PROPOSED RULES 



received on or before June 30 which are 
incomplete as of that date, as well as all 
applications for renewal of course approval 
submitted after June 30. shall be treated as original 
course approval applications. 

(b) The course renewal fee shall be twenty 
dollars ($20.00) for each previously approved 
appraisal prelicensing or precertification course for 
which the applicant requests continuing approval. 
The fee shall be paid by check payable to the 
North Carolina Appraisal Board and is non- 
refundable. 

Statutory Aurhorin- G.S. 93E-l-8(a).(b): 93E-1-10. 

SECTION .0600 - CONTINUING 
EDUCATION COURSES 

.0601 PURPOSE AND APPLICABILITY 

This Section establishes minimum standards for 
appraisal continuing education courses authorized 
by G.S. 93E-1-8 (c) and required by Rule .0204 of 
Subchapter 57A. These standards must be satisfied 
in order for course sponsors to obtain and maintain 
approval of their courses for appraiser continuing 
education credit. Except as provided in Rule 
.0602(a) of this Section, any school, organization. 
agency, individual, or other entity is eligible to 
become a continuing education course sponsor- 
Course sponsors must obtain course approval from 
the Board prior to conducting the course for 
continuing education credit and prior to advertising 
or otherwise representing that a course is or may 
be approved for continuing education credit in 
North Carolina. To request credit for a continuing 
education course which has not been approved by 
the Board, a licensee or certificate holder must 
follow the procedure set forth in 2i NCAC 57A 
.0204(f). 

Statutory Authority G.S 93E-l-8(c); 93E-1-W. 

.0602 APPLICATION AND FEE 

(a) Course sponsors seeking approval of their 
courses as appraisal continuing education courses 
must make written application to the Board on a 
form prescribed by the Board. A course sponsor 
must be the owner of the proprietary rights to the 
course for which approval is sought or must have 
the permission of the course owner to seek course 
approval . If the course for which approval is 
sought is one that may be off"ered outside North 
Carolina, and the course owner wants the Board to 
approve such course when it is conducted outside 
North Carolina, application must be made by the 



course owner. After receipt of a properly com- 
pleted application the Board will review the appli- 
cation and notify the sponsor of its decision. 
Decisions to approve or withhold approval lie 
within the sole discretion of the Board. 



(b) The original application fee shall be one 
hundried dollars ($100.00) for each course for 
which approval is sought, provided that no fee is 
required if the course sponsor is an accredited 
North Carolina college, university, junior college. 
or community or technical college, or if the course 
sponsor is an agency of the federal, state or local 
government. The fee shall be paid by certified 
check, bank check or money order payable to the 
North Carolina Appraisal Board and is 
non-refundable. A course sponsor may offer 



approved courses as frequently as is desired during 
the period for which approval js granted without 
paying additional fees. 

Statutory Authority' G.S. 93E-l-8(c),(d). 

.0603 CRITERIA FOR COURSE 
APPROVAL 

The following requirements must be satisfied in 

order for course sponsors to obtain approval of a 

course for appraiser continuing education credit: 

(1) The subject matter of the course must 

comply with the requirements of Rule 

.0204 of Subchapter 57 A and the 

information to be provided in the course 

must be both accurate and current. 



i2i 



The course must involve a minimum of 
three and one-half classroom hours of 
instruction on acceptable subject matter. 
A classroom hour consists of 50 minutes 
of classroom instruction and 10 minutes 
of break time. 



ill 



The course instructor(s) must possess 
good moral character and either two 
years' full-time experience that is directly 
related to the subject matter to be taught. 
or a baccalaureate or higher degree in a 
field that is directly related to the subject 
matter to be taught, or two years' 
full-time experience teaching the subject 
matter to be taught, or an equivalent 
combination of such education and 
experience. If two or more instructors 
will be utilized to teach a course during 
the approval period and the course will 
be taught in states other than North 
Carolina, it is sufficient for the course 
sponsor to show that it has minimum 
instructor requirements comparable to 



1991 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



these requirements. 

(4) The course must be one involving a 
qualified instructor who will be 
physically present in the classroom at all 
times and who will personally provide 
the instruction for the course. TTie 
course instructor may utilize videotape 
instruction, remote television instruction 
or similar types of instruction by other 
persons to enhance or supplement his 
personal instruction; however, such other 
persons may not be considered to be the 
official course instructor and the official 
course instructor must be physically 
present when such indirect instruction by 
other persons is being utilized. No 
portion of the course may consist of 
correspondence instruction. 

(5) The course must be an educational 
program intended to improve the 
knowledge, skill and competence of 
state-licensed and state-certified real 
estate appraisers and participation must 
be open to all state-licensed and 
state-certified real estate appraisers. 
Activities not eligible for approval as a 
continuing education course include trade 
organization conferences. in-house 
training programs of a firm, organization 
or agency, or similar activities. 

(6) The course s ponsor must certify that the 
course will be conducted in accordance 
with the operational requirements stated 
in Rule .0606 of this Section and that the 
course sponsor will comply with all other 
applicable rules contained in this Section. 

Statutory Authority G.S. 93E-l-8(c); 93E-1-W. 

.0604 PRELICENSEVG AND 

PRECERTIFICATION COURSES 

(a) Appraisal prelicensing or precertification 
courses conducted by North Carolina approved 
schools will not be separately approved as 
appraisal continuing education courses. 
State-licensed and state-certified appraisers may 
obtain continuing education credit for these courses 
only to the extent permitted by Rule .0204 of 
Subchapter 57 A. 

(b) Appraisal trade organization courses which 
are approved by the Board as equivalent to those 
North Carolina appraisal prelicensing or 
precertification courses entitled Introduction to 
Real Estate Appraisal (R-1 ). Valuation Principles 
and Procedures (R-2). Introduction to Income 



Property Appraisal (G- 1 ) . and Advanced Income 
Capitalization Procedures (G-2) will not be 
approved as appraisal continuing education 
courses. Other appraisal trade organization 
courses which are not approved by the Board 
under Section .0300 of this Subchapter as 
equivalent to the North Carolina appraisal 
prelicensing or precertification courses listed in 
this Paragraph, but which are substantially similar 
in content and level of instruction to such courses, 
will also not be approved as appraisal continuing 
education courses. 

(c) Appraisal trade organization courses which 
are formally recognized by the Board as 
equivalent, wholly or in part, to those North 
Carolina appraisal prelicensing or precertification 
courses entitled Applied Residential Property 
Valuation (R-3) and Applied Income Property 
Valuation (G-3) will automatically be considered to 
be Board-approved continuing education courses. 
to the extent permitted by Rule .0204 of 
Subchapter 57A, and the a ppraisal trade 
organization is not required to submit an 
application for approval of these courses under this 
Section; provided, however, that the appraisal 
trade organization must at all times assure 
compliance with Rules .0606, .0607, and .0608 of 
this Section in order to retain such approval for 
these courses. 

Statutory Authority G.S. 93E-l-8(c); 93E-1-10. 

.0605 CONTINUING EDUCATION 
CREDIT HOURS 

The course approval issued to a course sponsor 
will include the number of hours of continuing 
education credit that will be awarded for the 
course. The minimum number of continuing 
education credit hours awarded for a course will 
be three and one-half hours, and the maximum 
number of continuing education credit hours 
awarded for a course, regardless of its length, will 
be thirty hours. Continuing education credit hours 
may be carried forward into subsequent licensing 
periods only as provided in Rule .0204(c) of 
Subchapter 57 A. 

Statutory Authority G.S 93-1 -8(c); 93E-] -10. 

.0606 COURSE OPERATIONAL 
REQUIREIVIENTS 

Course sponsors must at all times assure 
compliance with the criteria for course approval 
stated in Rule .0603 of this Section and must also 
comply with the fo llowing requirements relating to 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1992 



PROPOSED RULES 



scheduling, advertising and conducting approved 

appraisal continuing education courses: 

( 1 ) Courses must be scheduled and conducted 

in a manner that limits class sessions to a 

maximum of eight classroom hours in 

any given day and that includes 



(2) 



il] 



14] 



15] 



(6] 



appropriate breaks for each class session. 
Course sponsors must not utilize 
advertising of any type that is false or 
misleading in any respect. If the number 
of continuing education credit hours 
awarded by the Board for a course is less 
than the number of scheduled classroom 
hours for the course, any course 
advertisement or promotional materials 
which indicate that the course is 
approved for appraiser continuing 
education credit in North Carolina must 
specify the number of continuing 
education credit hours awarded by the 
Board for the course. 
Course sponsors must, upon request, 
provide any prospective student a 
description of the course content 
sufficient to give the prospective student 
a general understanding of the instruction 
to be provided in the course. 
Courses must be conducted in a facility 
that provides an appropriate learning 



environment. 



At 



mmimum. 



the 



01 



classroom must be of sufficient size to 
accommodate comfortably all enrolled 
students, must be equipped with student 
desks or worktables with chairs for all 
enrolled students, must have adequate 
light, heat, cooling and ventilation, and 
must be free of distractions that would 
disrupt class sessions. 
The course sponsor must require students 
to attend at least 90 percent of the 
scheduled classroom hours \n order to 
satisfactorily complete the course, even if 
the number of continuing education credit 
hours awarded by the Board for the 
course is less than the number of 
scheduled classroom hours. Attendance 
must be monitored during all class 
sessions to assure compliance with the 
attendance requirement- 
Instructors must require reasonable 
student attentiveness during class 
sessions. Students must not be permitted 
to engage in activities that are not related 
to the instruction being provided. 
Course sponsors for which an application 



fee is required by Rules .0602rb) and 
.061 1(b) of this Section must fairly 
administer course cancellation and fee 
refund policies. In the event a scheduled 
course is canceled, reasonable efforts 
must be made to notify preregistered 
students of the cancellation and all 
prepaid fees received from such 
preregistered students must be refunded 
within 30 days of the date of cancellation 
or, with the student's permission, applied 
toward the fees for another course. 

Statutory Authority G.S. 93E-l-8(c): 93E-1-10. 

.0607 CERTIFICATION OF COURSE 
COMPLETION 

Course sponsors must promptly issue a certificate 
of course completion to all students who 
satisfactorily complete an approved course. If the 
course sponsor is located in North Carolina, the 
certificate, which the student must submit to the 
Board to verify course completion, must be on a 
form or in a format prescribed by the Board and 
must bear the original signature or signature stamp 
of a person designated by the course sponsor to 
sign such certificate. The North Carolina-based 
course sponsor must notify the Board jn advance 
of the person(s) designated to sign certificates of 
course completion for courses conducted in North 
Carolina. If the course sponsor is not located in 
North Carolina, the certificate provided for 
submission to the Board must show the name of 
the course sponsor, the name of the course, the 
number of classroom hours, the course dates, the 
state or city where the course was conducted, and 
the full name of the student. 

Statutory Authority G.S. 93E-l-8(c); 93E-1-10. 

.0608 SUBMISSION OF COURSE 
ROSTER 

Course sponsors must, within 30 days of course 
completion, submit to the Board a roster of all 
North Carolina state-licensed and state-certified 
appraisers who satisfactorily completed the course. 

Statutory Authority' G.S. 93E-l-8(c): 93E-1-10. 

.0609 CHANGES DURING THE 
APPROVAL PERIOD 

Course sponsors must obtain advance approval 
from the Board for any changes to be made jn 
approved courses with regard to the number of 
classroom hours, course content or instructors. 



1993 



8:20 



NORTH CAROLINA REGISTER 



Januaiy 14, 1994 



PROPOSED RULES 



Requests for approval of such changes must be ]n 
writing. 

Statutory Authority G.S. 93E-l-8(c); 93E-1-10. 

.0610 COURSE RECORDS 

Course sponsors must retain on file for three 
years records of student registration and attendance 
for each approved course that is conducted and 
must make such records available to the Board 
upon request. 

Statutory Authority G.S 93E-l-8(c); 93E-1-10. 

.0611 RENEWAL OF APPROVAL 
AND FEES 

(a) Board approval of appraisal continuing 
education courses expires on the next June 30 
following the date of issuance. In order to assure 
continuous approval . applications for renewal of 
Board approval, accompanied by the prescribed 
renewal fee, must be filed with the Board annually 
on or before June J^ Applications for renewal of 
Board-approved continuing education courses 
which are not received by June 30 shall be treated 
as original applications for approval of continuing 
education courses. 

(b) The annual fee for renewal of Board 
approval shall be fifty dollars ($50.00) for each 
course for which renewal of approval is requested, 
provided that no fee js required for course 
sponsors that are exempted from original 
application fees by Rule .0602(b) of th]s Section. 
The fee shall be paid by check payable to the 
North Carolina Appraisal Board and is 
non-refundable. 



Statutory Authority G.S. 93E-l-8(c),(d); 93E-1-10. 

,0612 WITHDRAWAL OR DENIAL 
OF APPROVAL 

The Board may deny or withdraw a pproval of 
any course upon finding that: 

(1) the course sponsor has made any false 
statements or presented any false 
information in connection with an 
application for course approval or 
renewal of course approval; 

(2) the course sponsor has refused or failed 
to comply with any of the provisions of 
this Section; 

(3) the course sponsor has engaged in a 
pattern of consistently canceling 
scheduled courses; or 

(4) the instruction provided in a course is of 



unsatisfactory quality. 

Statutory Authority G.S. 93E-l-8(c); 93E-1-10. 

SUBCHAPTER 57C - ADMINISTRATIVE 
LAW PROCEDURES 

SECTION .0100 - APPRAISAL 
BOARD HEARINGS 

.0101 FORM OF COMPLAINTS AND 
OTHER PLEADINGS 

(a) There shall be no specific form required for 
complaints. To be sufficient, a complaint shall be 
in writing, identify the respondent licensed or 
certified appraiser and shall reasonably apprise the 
Board of the facts which form the basis of the 
complaint. 

(b) When investigating a complaint, the scope of 
the investigation shall not be limited to the persons 
or transactions described or alleged in the 
complaint. Persons making complaints may at any 
time submit additional information or may 
otherwise amend their complaints. 

(c) Persons who make complaints are not parties 
to contested cases heard by the Board, but may be 
witnesses in tlie cases. 

(d) There shall be no specific form required for 
answers, motions or other pleadings relating to 
contested cases before the Board, except they shall 
be in writing. To be sufficient, the document must 
identify the case to which it refers and reasonably 
apprise the Board of ffie matters it alleges, 
answers, or requests. In lieu of submission in 
writing, motions, requests and other pleadings may 
be made on the record during the course of the 
hearing before the Board. 

(e) Hearings in contested cases before the Board 
shall be governed by the provisions of Article 3A 
of Chapter 150B of the General Statutes. 

Statutory Authority G.S. 93E-1-I0. 

.0102 PRESIDING OFFICER 

The Appraisal Board may designate any of its 
members to preside over the hearing in a contested 
case. When no designation is made, the Chairman 
of the Board shall preside, or, vn his absence, the 
Vice Chairman shall preside. The presiding 
officer shall rule on motions or other requests 
made in a contested case prior to ffie conduct of 
the hearing in that case except when the ruling on 
the motion would be dispositive of the case. 
When the ruling on a motion or request would be 
dispositive of the case, the presiding officer shall 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1994 



PROPOSED RULES 



make no ruling and the motion or request shall be 
determined by a majority of the Board. 

Statutory Authorm- G.S. 93E-1-10. 



(c) The Board shall decide whether to allow or 
deny a rule-making petition. 

Statutory Authority G.S. 93E-1-10; I50B-20. 



.0103 SUBPOENAS 

(a) The Executive Director of the Appraisal 
Board and the Board's Legal Counsel shall have 
the authority to issue subpoenas in the name of the 
Board. 

(b) The presiding officer hi a contested case 
shall also have the authority to issue subpoenas 
relating to that contested case. 

Statutory Authority G.S 93E-1-10. 

.0104 PETITION TO REOPEN 
PROCEEDING 

(a) After a final decision has been reached by 
the Board in a contested case, a party may petition 
the Board to reconsider a case. Petitions will not 
be granted except when the petitioner can show 
that the reasons for reconsidering the case are to 
introduce newly discovered evidence which was 
not presented at the initial hearing because of some 
justifiable, excusable or unavoidable circumstance. 
Upon the running of the 30 day period for seeking 
judicial review, such petitions will have no effect 

(b) Decisions on petitions to reopen cases are 
within the discretion of the Board. 

Statutory Authority G.S 93E-1-10. 

SECTION .0200 - PETITIONS FOR RUXES 

.0201 PETITION FOR RULEMAKING 
HEARINGS 

(a) Any person wishing to fije a petition 
requesting the adoption, amendment or repeal of a 
rule by the Board shall file a written petition with 
the Executive Director. 

(b) The petition shall include the following 
information: 

(1 ) name, address and occupation of peti- 
tioner; 
CD a summary of the proposed action 

(adoption, amendment or repeal of a 

rule or rules); 
(3) a draft of the proposed rule or other 

action; 
£4} a complete statement of the reason for 

the proposed action; and 
(5) an identification of the persons or class 

of persons most likely to be affected by 

the proposed action. 



SECTION .0300 - RULE-MAKING 

.0301 WRITTEN SUBNflSSIONS 

Any person may file a written submission con- 



taining data, comments or arguments after publica- 
tion of a rule-making notice and prior to the 
decision of the Board to adopt, amend or repeal 
the rule or rules in question. Written submissions 
should be addressed to the Board and should 
clearly state the rule or proposed rule to which the 
comments are directed. 

Statutory Authority G.S. 93E-1-10; 150B-21.2(e). 

.0302 PRESIDING OFFICER 

The presiding officer at the hearing shall have 
complete control of the proceedings, including: 
recognition of speakers, time allotments for pre- 
sentations, the right to question speakers, direction 
of the discussion, and management of the hearing. 

Statutory Authority G.S. 93E-1-10. 

.0303 RECORD OF PROCEEDESfGS 

A record of rule-making proceedings will be 
available for public inspection during regular 
office hours at the Board's office. This record 
will contain the original petition, if any, the 
notice, all written memoranda and information 
submitted, and a record or summary of oral pre- 
sentations, if any, and, in any case where a pro- 
posal was rejected, the reason therefor. 

Statutory Authority G.S 93E-1-10: I50B-21. 

SECTION .0400 - DECLARATORY 
RULINGS 

.0401 REQUTSTS FOR RULINGS: 

DISPOSITION OF REQUESTS 

(a) All requests for declaratory rulings shall be 
written and filed with the Board. The request 
must contain the following information: 

(1) the name, address and signature of 
petitioner; 

(2) a concise statement of tlie manner in 
which petitioner is aggrieved by the 
rule or statute in question, or its poten- 
tial application to him; 

(3) a statement of the interpretation given 



1995 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



the statute or rule in question by peti- 
tioner; 
(4) a statement of the reasons, including 
any legal authorities, in support of the 
interpretation given the statute or rule 
by petitioner. 

(b) The Board shall either deny the request, 
stating the reasons therefor, or issue a declaratory 
ruling. When in its discretion, the Board deter- 
mines that the issuance of a declaratory ruling is 
undesirable, it may refuse to issue such ruling. 

(c) The Board shall not issue a declaratory 
ruling when the petitioner or his or her request is 
the subject of, or materially related to, a matter 
under investigation by the Board or a contested 
case before the Board. 

Statutory Authority G.S. 93E-1-W. 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Real Estate 
Commission intends to amend rules cited as 21 
NCAC 58A .0503. .0505; 58D .0203 and .0209. 

1 he proposed effective dates of these rules are: 
21 NCAC 58A .0503 and .0505 - May 1, 1994. 
21 NCAC 58D .0203 and .0209 - April 1, 1994. 

Ike public hearing will be conducted at 9:00 
a.m. on February 16, 1994 at the North Raleigh 
Hilton, 3415 Wike Forest Road, Raleigh, NC. 

MXeason for Proposed Action: 
21 NCAC 58A .0503 and .0505 - To codify chang- 
es in procedures regarding renewal and reinstate- 
ment of real estate licenses. 

21 NCAC 58D .0203 and .0209 - To codify chang- 
es in fees authorized by recent statutory re\'isions 
and affecting licensed and certified real estate 
appraisers. 

i^omment Procedures: Comments regarding these 
rules may be made orally or submitted in writing 
at the public hearing. Written comments not 
submitted at the hearing may be delivered to Ms. 
Anita Burt do North Carolina Real Estate Com- 
mission, P.O. Bo.x 17100, Raleigh, North Carolina 
27619, so as to be received by the hearing date. 

CHAPTER 58 - REAL ESTATE 



COMMISSION 

SUBCHAPTER 58A - REAL ESTATE 
BROKERS AND SALESMEN 

SECTION .0500 - LICENSING 

.0503 LICENSE RENEWAL; PENALTY 
FOR NON-RENEWAL 

(a) Licenses due to expire June 30. 1994 which 
are renewed on or before that date will be renewed 
for a period of not less than 13 nor more than 24 
months as determined by the last digit of the 
licensee's license number. The last digit of each 
license number shall correspond to a month of the 
calendar year, with the number (1) representing 
January and continuing hi sequence with the 
number zero representing October. The required 
renewal fee shall be prorated according to the 
number of months between June 30, 1994 and the 
new expiration date based upon an annual renewal 
fee of twenty -five ($25.00) dollars. Subsequent 
license periods shall be \2 months in length. Any 
licensee desiring the renewal of a license which is 
due to expire June 30, 1994, shall , during the 
month of June, apply for same renewal in writing 
within 45 days prior to license expiration by 
submitting to the Commission a renewal a pplica- 
tion upon on a form approved by the Commission 
and shall forward the required foo of twenty five 
dollars ($25.00). accompanied by the required fee. 
Forms are available upon request to the Commis- 
sion. 

(b) All licenses issued by the Commission on or 
after July J_j 1994. excluding licenses reinstated as 



provided in Rule .0505 of this Section, shall expire 
on the last day of the sixth month following issu- 
ance unless renewed on or before that date. The 
month of license issuance shall be counted in 
determining the six-month license period. Subse- 
quent license periods shall be 12 months in length. 
Any licensee desiring renewal of a license issued 
on or after July \^ 1994 shall apply for renewal in 



writing within 45 days prior to license expiration 
by submitting to the Commission a renewal appli- 
cation on a form approved by the Commission 
accompanied by the required annual license renew- 
al fee of twenty-five dollars ($25.00). Forms are 
available upon request to tlie Commission. 

(c) In order to renew a license on active status 
for a license period beginning on or after July _L, 
1995, any person renewing a license shall, upon 
the second renewal of such license following initial 
licensure, and upon each subsequent renewal, 
present evidence satisfactory to the Commission of 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



1996 



PROPOSED RULES 



having obtained all required continuing education. 
A person renewing a license on inactive status 
shall not be required to have obtained any continu- 
ing education in order to renew such license. 

ihj (dj Any person or corporation which engag- 
es in the business of broker or salesman while his 
or its license is lapsed will be subject to the penal- 
ties prescribed in the license law. 

Srarutory Authority G.S. 93A-3(c); 93A-4(c),(d): 
93A-4A(a),(c); 93A-6. 

.0505 REINSTATEMENT OF EXPIRED 
LICENSE 

Expired licenses may be reinstated within — 13 
months after expiration upon proper application 
and payment of the twenty five dollar ($25.00) 
renewal fee plus five dollar ($5.00) late filing fee. 
Licenses expired for more than 12 month s may be 
considered for reinstatement upon proper applica 
tion and payment of thirty dollar ($30.00) fee for 
brokers and thirty dollar ($30.00) fee for sales 
men. — Such applications will be reviewed by the 
Commission to determine whether an examination 
and/or real estate education will be required. 

(a) Except as provided in Subparagraph (b) of 
this Rule, licenses expired for 12 months or fewer 
may be reinstated upon proper application and 
payment of the twenty-five dollar ($25.00) renewal 
fee plus five dollar ($5.(X)) late filing fee. In order 
to reinstate such license on active status for a 
license period beginning on or after July ]_> 1995. 
the applicant shall also present evidence satisfacto- 
ry to the Commission of having obtained all 
continuing education required for the previous 
license period. A person reinstating such a license 
on inactive status shall not be required to have 
obtained any continuing education in order to 
reinstate such license. The reinstated license shall 
expire on the last day of the 12th month following 
the date the license expired unless renewed on or 
before that date. 

(b) Licenses expired for 12 months or fewer that 
are reinstated between July ]^ 1994 and June 30. 
1995 shall be reinstated in accordance with the 



license renewal procedures and requirements 
described in Rule .05Q3(a) of this Section. Any 
licensee desiring reinstatement of his license shall 
pay a five dollar ($5.00) late filing fee m addition 
to the required license renewal fee. 

(c) Reinstatement of licenses expired for more 
than 12 months may be considered upon proper 
application and payment of a thirty dollar ($30.00) 
fee. Applicants must satisfi' the Commission that 
they possess the current knowledge, skills and 



competence necessary to function in the real estate 
business in a manner that protects and serves the 
public interest. In this regard, the Commission 
may require such applicants to complete real estate 
education and/or pass the license examination, and 
will make such determination based on the length 
of time an applicant's license has been expired, the 
applicant's real estate or related education and 
experience, and whether the applicant is applying 
for reinstatement of the license on active status or 
inactive status. Any license reinstated on or after 
July L, 1994 which has been expired for more than 
12 months shall, upon reinstatement, expire on the 
last day of the 12th month following reinstatement 
unless renewed on or before that date. The month 
of license reinstatement shall be counted in deter- 



mining the license period. 

Statutory Authority G.S. 93A-3(c); 93A-4(c),(d); 
93A-4A(a),(c). 

SUBCHAPTER 58D - REAL 
ESTATE APPRAISERS 

SECTION .0200 - APPRAISER 
LICENSING AND CERTIFICATION 

.0203 LICENSE AND CERTIFICATE 
RENEWAL 

(a) A holder of an appraiser license or certificate 
desiring the renewal of such license or certificate 
shall, during the month of June, apply for same in 
writing upon the form approved by the Commis- 
sion and shall forward the required fee of efie 
hundred dollar s ($100.00) two hundred dollars 
($2(X).0O) . Forms are available upon request to 
the Commission. 

(b) As a condition of renewal, all licensees and 
certificate holders, either active or inactive, resi- 
dent or non-resident, shall be required to satisfy 
the continuing education requirements set forth in 
Rule .0204 of this Section. 

(c) An applicant applying for renewal of a 
license or certificate obtained by reciprocity must 
submit with the renewal application a current 
license history from the appraiser regulatory 
authority of the state upon whose qualification 
requirements the reciprocal license or certificate 
was granted showing that the applicant is currently 
licensed or certified in good standing. Submission 
of false or misleading information to the Board in 
connection with license or certificate renewal shall 
constitute grounds for disciplinary action. 

(d) Any person who acts or holds himself out as 
a state-licensed or state-certified real estate ap- 



1997 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



PROPOSED RULES 



praiser while his appraiser license or certificate is 
expired will be subject to disciplinary action and 
penalties as prescribed in Chapter 93A of the 
North Carolina General Statutes. 

Statutory Authority G.S. 93A-74(a),(b); 93A-77. 

.0209 FEDERAL APPRAISER REGISTRY 

Licensees and certificate holders who are quali- 
fied for enrollment in the federal roster or registry 
of state- licensed and state-certified real estate 
appraisers may apply for enrollment or for the 
renewal or reinstatement of such enrollment in 
writing upon a form approved by the Commission 
accompanied by the fee established for that pur- 
pose by the appropriate federal agency or instru- 
mentality plus an additional fee of twenty dollars 
($20.00) to cover the Commission's administrative 
costs associated with this service. 

Statutory Authority G.S 93A-79(e); 93A-77. 



8:20 NORTH CAROLINA REGISTER January 14, 1994 1998 



RRC OBJECTIONS 



1 he Rules Review Commission (RRC) objected to the following rules in accordance with G. S. 
143B-30.2(c). State agencies are required to respond to RRC as provided in G.S. 143B-30.2(d). 



ADMINISTRATION 

State Employees Combined Campaign 

1 NCAC 35 .0103 - Organization of the Campaign 

Agency' Revised Rule 

AGRICULTURE 

Aquaculture 

2 NCAC 53 .0001 - Aquaculture Licenses 
COMMERCE 

Banking Commission 
4 NCAC 3F .0202 - Permissible Investments 
ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 
Coastal Management 

15A NCAC 7H .2002 - Approval Procedures 

Agency Responded 

No Action 

Agency Re\ised Rule 
15A NCAC 7H .2004 - General Conditions 

Agency Responded 

No Action 

Agency Revised Rule 

Environmental Management 

ISA NCAC 2D .0518 - Msc Volatile Organic Compound Emissions 

Agency Rexised Rule 
ISA NCAC 2D .0948 - VOC Emissions from Transfer Operations 

Agency Revised Rule 
ISA NCAC 2L .0103 - Policy 

Agency Re\ised Rule 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 

Health: Epidemiology 

15A NCAC 19A .0206 - Infection Control - Health Care Settings 



RRC Objection 1 1 II 8/93 
Obj. Removed 11/18/93 



RRC Objection 12/16/93 



RRC Objection 12/16/93 



RRC Objection 


09/17/93 


Obj. Cont'd 


10/21/93 


Obj. Cont'd 


11/18/93 


Obj. Removed 


12/16/93 


RRC Objection 


09/1 7/93 


Obj. Cont'd 


10/21/93 


Obj. Cont'd 


11/18/93 


Obj. Removed 


12/16/93 



RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


09/17/93 


RRC Objection 


09/17/93 


Obj. Cont'd 


10/21/93 


Eff. 


11/04/93 



RRC Objection 12/16/93 



1999 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



RRC OBJECTIONS 



Agency Revised Rule 
15A NCAC IPC .0703 - Method of Reporting 
Agency Revised Rule 

Health: Personal Health 

15A NCAC 21 A .0817 - Grant Proposals 
Agency Revised Rule 

Laboratory Services 

15A NCAC 20A .0006 - Fees 
Agency Re\'ised Rule 

Mining: Mineral Resources 

15A NCAC 5B .0003 - Procedures for Obtaining Permits: Bonding Reqs. 
Agency Revised Rule 

Solid Waste Management 

15A NCAC 13B .1705 - Design, Constr. /Operation/Structural Fill Facilities 

Agency Revised Rule 
15A NCAC 13B .1708 - Other Uses for Coal Combustion By-products 

Agency Revised Rule 
15A NCAC 13B .1710 - Annual Reporting 

Agency Revised Rule 

HUMAN RESOURCES 
Facility Services 

10 NCAC 3R .2114 - Information Required of Applicant 

Agency Revised Rule 
10 NCAC 3R .3405 - Required Staffing and Staff Training 

Agency Rex'ised Rule 
10 NCAC 3R . 3505 - Required Staffing and Staff Training 

Agency Revised Rule 
10 NCAC 3R .3906 - Required Staffing and Staff Training 

Agency Revised Rule 

Mental Health: General 



Obj. Removed 12/16/93 
RRC Objection 12/16/93 
Obj. Removed 12/16/93 



RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



12/16/93 
12/16/93 



12/16/93 
12/16/93 



12/16/93 
12/16/93 



12/16/93 
12/16/93 
12/16/93 
12/16/93 
12/16/93 
12/16/93 



RRC Objection 


12/16/93 


Obj. Removed 


12/16/93 


RRC Objection 


12/16/93 


Obj. Removed 


12/16/93 


RRC Objection 


12/16/93 


Obj. Removed 


12/16/93 


RRC Objection 


12/16/93 


Obj. Removed 


12/16/93 



10 NCAC 14A .1603 recodified as 14U .0303 - Registered Nurse 

Agency Revised Rule 
10 NCAC 14A . 1903 recodified as 14U .0603 - Space Requirements 

Agency Revised Rule 
10 NCAC 14A .2204 recodified as 14U .0904 - Treatment or Habilitation Plan 

Agency Rexdsed Rule 
10 NCAC 14A .2208 recodified as I4U .0908 - Rel Planning/Res/Inpatient Svcs 

Agency Revised Rule 
10 NCAC I4A .2304 recodified as 14U . 1004 - Testing Services 

Agency Re\'ised Rule 
10 NCAC I4A .2404 recodified as I4U .1104 - Invol Admin/ Psychotropic Med 

Agency Revised Rule 



RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



2000 



RRC OBJECTIONS 



10 NCAC 14J .0206 - Procedures: Seclusion, Restraints, or Isolation Time Out 

Agency Re\'ised Rule 

INSURANCE 

Financial Evaluation Division 

11 NCAC IIB .061 1 - Deposits: Bonds: Excess Insurance - Groups 

Agency Re\ised Rule 
11 NCAC IIH .0011 - Insolvency or Hazardous Financial Condition 
Agency Revised Rule 
Agency Revised Rule 

Special Services Division 

11 NCAC 13 .0318 - Request for Cancellation Notice 

Agency Revised Rule 

JUSTICE 
Departmental Rules 

12 NCAC 1 .0106 - ADA Dispute Resolution Procedure 

Agency Revised Rule 

Private Protective Services 

12 NCAC 7D .0108 - Law Enforcement Officers Special Provisions 

No Response from Agency 
12 NCAC 7D .0203 - Renewal or Re-issue of Licenses and Trainee Permits 

Agency Re\ised Rule 
12 NCAC 7D . 0401 - Experience Reqs. a Private Investigator License 

Agency Revised Rule 

Sheriffs' Education and Training Standards Commission 

12 NCAC 1 OB .1003 - Basic Law Enforcement Certificate 
Agency Revised Rule 

LICENSING BOARDS AND COMMISSIONS 

Dental Examiners 

21 NCAC 16D .0102 - Restrictions on Practice 

Agency Revised Rule 
21 NCAC 16H .0203 - Permitted Functions of Dental Assistant II 

Agency Revised Rule 
21 NCAC 16Q .0301 - Sedation Credentials and Permit 

Agency Revised Rule 

Electrolysis Examiners 

21 NCAC 19 .0604 - Program Directors 

Agency Revised Rule 
21 NCAC 19 .0613 - Student /Teacher Ratio and Equipment 



RRC Objection 12/16/93 
Obj. Removed 12/16/93 



RRC Objection 12/16/93 

Obj. Removed 12/16/93 

RRC Objection 11/18/93 

Obj. Cont'd 11/18/93 

Obj. Removed 12/16/93 



RRC Objection 11/1 8/93 
Obj. Removed 11/18/93 



RRC Objection 12/16/93 
Obj. Removed 12/16/93 



RRC Objection 
Obj. Cont'd 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



11/18/93 
12/16/93 
12/16/93 
12/16/93 
12/16/93 
12/16/93 



RRC Objection 11/18/93 
Obj. Removed 11/18/93 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



12/16/93 
12/16/93 
12/16/93 
12/16/93 
12/16/93 
12/16/93 



RRC Objection 10/21/93 
Obj. Removed 11/18/93 
RRC Objection 10/21/93 



2001 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



RRC OBJECTIONS 



Agency Revised Rule 



Obj. Removed 11/18/93 



Opticians 

21 NCAC 40 .0202 - Registration of Place of Business 

Agency Revised Rule 
21 NCAC 40 .0314 - Apprenticeship and Internship Requirements: Registration 

Agency Revised Rule 

Practicing Psychologists 

21 NCAC 54 .1605 - Fees 
Agency Revised Rule 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 



12/16/93 
12/16/93 
12/16/93 
12/16/93 



11/18/93 
11/18/93 



Refrigeration Examiners 

21 NCAC 60 .0101 - Structure of Board 

Agency Repealed Rule 
21 NCAC 60 .0207 - Requirements for Examination Applicants 

Agency Revised Rule 



RRC Objection 1 1 /1 8/93 

Obj. Removed 11/18/93 

RRC Objection 11/18/93 

Obj. Removed 11/18/93 



Therapeutic Recreation 

21 NCAC 65 .0005 (Recodified as 21 NCAC 65 .0002)- Meetings 

Agency Revised Rule 
21 NCAC 65 .0008 (Recodified as 21 NCAC 65 .0004) - Academic -TRS Exam. 
21 NCAC 65 .0011 (Recodified as 21 NCAC 65 .0007) - Cert. Ren. Eff. 7/1/95 

Agency Revised Rule 
21 NCAC 65 .0013 (Recodified as 21 NCAC 65 .0008) - Revocation 

Agency Revised Rule 



RRC Objection 


12/16/93 


Obj. Removed 


12/16/93 


RRC Objection 


12/16/93 


RRC Objection 


12/16/93 


Obj. Removed 


12/16/93 


RRC Objection 


12/16/93 


Obj. Removed 


12/16/93 



STATE PERSONNEL 



Office of State Personnel 



25 NCAC ID .0308 - Salary Increases 

Agency Revised Rule 
25 NCAC IE .0301 - Sick Leave Credits 

Agency Revised Rule 
25 NCAC IE .1102 - Maximum Amount 

Agency Revised Rule 
25 NCAC IE .1105 - Retention of Benefits 

Agency Revised Rule 



RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 



TRANSPORTATION 

Deputy Secretary - Transit, Rail, and Aviation 

19A NCAC 6C .0112 - Allowable Project Costs 

Agency Revised Rule 
19A NCAC 6C .0128 - State Aid to Airports Program Guidance Handbook 

Agency Repealed Rule 

Director of Administration 



RRC Objection 1 1 /1 8/93 

Obj. Removed 11/18/93 

RRC Objection 11/18/93 

Obj. Removed 11/18/93 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



2002 



RRC OBJECTIONS 



19A NCAC 5B .0101 - Fiscal Section Operations RRC Objection 11/18/93 

Agency Revised Rule Ohj. Removed 11/18/93 

Division of Highways 

19A NCAC 2C .0102 - Minimum Standards for Secondary Roads RRC Objection 12/16/93 

Agency Revised Rule Obj. Removed 12/16/93 

19A NCAC 2C .0103 - Addition of Roads to the Secondary Road System RRC Objection 12/16/93 

Agency Revised Rule Obj. Removed 12/16/93 

19A NCAC 2C .0204 - Utility Requirements for Subdixision Roads RRC Objection 12/16/93 

Agency Rexised Rule Obj. Removed 12/16/93 

19A NCAC 2C .0206 - Bridge and Dam Requirements for Subdixision Roads RRC Objection 12/16/93 

Agency Repealed Rule Obj. Removed 12/16/93 

19A NCAC 2C .0211 - Street Intersections for Subdivision Streets RRC Objection 12/16/93 

Agency Repealed Rule Obj. Remoxed 12/16/93 

19A NCAC 2C .0213 - Subdivision Name Markers RRC Objection 12/16/93 

Agency Revised Rule Obj. Removed 12/16/93 

19A NCAC 2D .0502 - Ticket Conditions RRC Objection 11/18/93 

Agency Rex'ised Rule Obj. Removed 11/18/93 

19A NCAC 2D .0801 - Pre-Qualifymg to Bid: Requalification RRC Objection 09/17/93 

No Response from Agency Obj. Contd 10/21/93 

Agency Revised Rule Obj. Removed 11/18/93 

19A NCAC 2D .0802 - Invitation to Bid RRC Objection 09/17/93 

No Response from Agency Obj. Contd 10/21/93 

Agency Rex'ised Rule Obj. Removed 11/18/93 

19A NCAC 2D .0803 - Advertisement and Invitations for Bids RRC Objection 09/17/93 

No Response from Agency Obj. Contd 10/21/93 

Agency Revised Rule Obj. Removed 11/18/93 

19A NCAC 2D . 0821 - Return of Bid Bond or Bid Deposit RRC Objection 09/1 7/93 

No Response from Agency Obj. Contd 10/21/93 

Agency Revised Rule Obj. Removed 11/18/93 

19A NCAC 2E . 0606 - Exceptions to the Policy RRC Objection 11/18/93 

Agency Repealed Rule Obj. Removed 11/18/93 

Division of Motor Vehicles 



I9A NCAC 3B .0616 - Approval: Com School: Conmiunity College Instructors 

Agency Rexised Rule 
19A NCAC 3B .0620 - Grounds for Revocation or Denial of Certification 

Agency Rexised Rule 
19A NCAC 3B .0621 - Denial/Revocation: Company Examiner: Instructor Cert. 

Agency Revised Rule 
19A NCAC 3C .0223 - Registration: Motor Homes: Etc 

Rule Returned to Agency for Failure to Comply xvith APA 
I9A NCAC 3C .0436 - Highxvay Use Tax 

Agency Revised Rule 
19A NCAC 3C .0521 - Taxicab 

Agency Rexised Rule 
19A NCAC 3D .0231 - Hearings Pursuant to Articles 12 & 15 of Chapter 20 

Agency Rexised Rule 
19A NCAC 3D .0515 - Safety Inspection Licensing and Procedures 
19A NCAC 3D .0602 - Collection of Assessments 

Agency Rexised Rule 
I9A NCAC 3D .0702 - Information for Manufacturer 

Agency Repealed Rule 



RRC Objection 
Obj. Removed 
RRC Objection 
Ohj. Removed 
RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



11/18/93 
11/18/93 
11/18/93 
12/16/93 
11/18/93 
12/16/93 

11/18/93 
11/18/93 
12/16/93 
11/18/93 
11/18/93 
12/16/93 
12/16/93 
12/16/93 
12/16/93 
12/16/93 
12/16/93 
12/16/93 



2003 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



RRC OBJECTIONS 



19A NCAC 3D .0823 - Vehicle Registration and Identification Required 

Agency Revised Rule 
19A NCAC 3D .0825 - Reproduction of Forms 

Agency Revised Rule 
19A NCAC 3G .0205 - Issuing of Original Certificate 

Agency Revised Rule 
19A NCAC 31 .0505 - Confidentiality 

Agency Revised Rule 
19A NCAC 3 J .0202 - Original Application 

Agency Revised Rule 
19A NCAC 3 J .0604 - Contract Provisions 

Agency Rei'ised Rule 



RRC 


' Objection 


12/16/93 


Obj. 


Removed 


12/16/93 


RRC 


' Objection 


12/16/93 


Obj. 


Removed 


12/16/93 


RRC 


Objection 


11/18/93 


Obj. 


Removed 


12/16/93 


RRC 


Objection 


11/18/93 


Obj. 


Removed 


12/16/93 


RRC 


Objection 


12/16/93 


Obj. 


Removed 


12/16/93 


RRC 


Objection 


12/16/93 


Obj. 


Removed 


12/16/93 



8:20 NORTH CAROLINA REGISTER January 14, 1994 2004 



RULES INVALIDATED BY JUDICIAL DECISION 



1 his Section of the Register lists the recent decisions issued by the North Carolina Supreme Court, 
Court of Appeals, Superior Court (when available), and the Office of Administrative Hearings which 



invalidate a rule in the North Carolina Administrative Code. 



{ 



10 NCAC 261 .0101 - PURPOSE: SCOPE AND NOTICE OF CHANGE IN LEVEL OF CARE 

Thomas R. West, Administrative Law Judge with the Office of Administrative Hearings, declared Rule 10 
NCAC 261 .0101 void as applied in Dorothy McNeil Moore v. N. C. Department of Human Resources, Division 
of Medical Assistance (93 DHR 1342). 

10 NCAC 261 .0102 - REQUEST FOR RECONSIDERATION AND RECIPIEIVT APPEALS 

Thomas R. West, Administrative Law Judge with the Office of Administrative Hearings, declared Rule 10 
NCAC 261 .0102 void as applied in Dorotlry McNeil Moore v. N. C Department of Human Resources, Division 
of Medical Assistance (93 DHR 1342). 

10 NCAC 261 .0104 - FORMAL APPEALS 

Thomas R. West, Administrative Law Judge with the Office of Administrative Hearings, declared Rule 10 
NCAC 261 .0104 void as applied in Dorothy McNeil Moore v. N. C. Department of Human Resources, Division 
of Medical Assistance (93 DHR 1342). 



i 



2005 8:20 NORTH CAROLINA REGISTER January 14, 1994 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions 
along with an index to all recent contested cases decisions which are filed under North Carolina's 
Administrative Procedure Act. Copies of the decisions listed in the index and not published are available 
upon request for a minimal charge by contacting the Office of Administrative Hearings. (919) 733-2698. 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



ADMINISTRATION 

LMS Express. Inc. v. Administration. Div of Purchase & Contract 
Stauffer Information Systems v. Community Colleges & Administiation 
McLaurin Parking Co. v. Administration 
Warren H. Amngton Jr. v. Division of Purchase & Contract 
Travel. Incorporated v. Administration 

ALCOHOLIC BEVERAGE CONTROL COMMISSION 



92 DOA 0735 


Morgan 


06/04/93 




92 DOA 0803 


West 


06/10/93 


8:7 NCR 613 


92 DOA 1662 


Morrison 


04/02/93 


8:3 NCR 320 


93 DOA 0132 


West 


07/21/93 




93 DOA 0362 


Nesnow 


11/08/93 





Partnership. Phillip Owen Edv^id 

Gary Morgan Neugent 
V. Azzat Aly Amer 
V. Kirty Ronald Eldric^e 
V. Gloria Black McDuffie 
V. Larry Isacc Hailstock 
V. Anthony Ralph Cecchini Jr. 



Alcoholic Beverage Control Comm. v. Ann Oldham McDowell 

Curtis Ray Lynch v. Alcoholic Be\'erage ConliDl Comm. 

Alcoholic Beverage Contiol Comm. v. Ezra Everett Rigsbee 

Alcoholic Beverage ContrDl Comm. v. 

Alcoholic Beverage Control Comm. v. 

Alcoholic Beverage Control Comm 

Alcoholic Beverage Control Comm 

Alcoholic Be\'erage Control Comm 

Alcoholic Beverage Control Comm 

Alcoholic Beverage Control Comm 

Johnnie L. Baker v. Alcoholic Beverage Control Commission 

RAMSAC Enterprises, Inc. v. Alcoholic Beverage Control Comm. 

Alcoholic Beverage Control Comm. v. Aubrey Rudolph Wallace 

Alcoholic Beverage Control Comm. v. Mermaid. Inc. 

Alcoholic Beverage Control Comm. v. Majdi Khalid Wahdan 

Cornelius Mines T/A Eborry Lounge v. Alcoholic Beverage Ctl. Comm. 

Alcoholic Beverage Control Comm. v. Homer Patrick Godwin Jr. 

Alcoholic Beverage ContnDl Comm. v. Wanda Lou Ball 

Charles Anthonious Moranl v. Alcoholic Beverage Control Comm. 

Alcoholic Beverage Control Comm. v. Billy Fmcher McSwain Jr. 

Jean Hoggard Askew v. Alcoholic Beverage Control Commission 

ABC Comm. v. Partnership /T/A Corrotheis Comty Ctr & Private Club 

Alcoholic Beverage Control Comm. v. James El\wod Alphin 

Alcoholic Beverage Control Comm. v. James William Campbell 

Alcoholic Beverage Control Comm. v, Sydner Jan Mulder 

Barbara Locklear v. Alcoholic Beverage Control Commission 

Alcoholic Beverage Control Comm. v. Partnership, T/A Hawk's Landing 

Alcoholic Beverage Control Com. v. Thomas Andrisw Reid 

Zachary Andre Jones v. Alcoholic Beverage Control Commission 

Alcoholic Beverage Control Comm. v. Mack Ray Chapman 

Alcoholic Beverage Control Comm. v. Bistro Enterprises. Inc. 

Alcoholic Beverage Control Comm. v. Richard Donald James Jr. 

Alcoholic Beverage Control Comm. v. George Oliver O'Neal III 

Alcoholic Beverage Control Comm. v. The Sideline of Wilmir^ton. Inc. 

William Vernon Franklin & Gene Carroll Daniels v. ABC Commission 

Pink Bell v. ABC Commission 

Alcoholic Beverage Control Comm. v. Joseph Adu 

Alcoholic Beverage Control Comm. v. Citizens Fuel Company 

Alcoholic Beverage Control Comm. v. Citizens Fuel Company 

Alcoholic Beverage Control Comm. v. Mohammad Salim Pirini 

Linda R. Cunningham v. Alcoholic Beverage Control Commission 

Charles Edward Hart, Club Paradise v. Alcoholic Beverage Ctl. Comm. 

Alcoholic Beverage Control Comm. v. Katherine Mary Dufresne 



92 ABC 0260 


Morgan 


04/01/93 




92 ABC 0288 


Gr^ 


05/18/93 




92 ABC 0702 


West 


07/30/93 




92 ABC 0978 


Gray 


05/28/93 




92 ABC 1086 


Becton 


03/22/93 




92 ABC 1149 


Reilly 


09/01/93 




92 ABC 1153 


Chess 


04/26/93 




92 ABC 1476 


West 


05/26/93 




92 ABC 1483 


Reilly 


04/07/93 




92 ABC 1690 


Morgan 


06/29/93 




92 ABC 1735 


Chess 


05/07/93 




93 ABC 0002 


Morrison 


07/02/93 




93 ABC 0047 


Gray 


05/28/93 




93 ABC 0076 


Gray 


08/04/93 




93 ABC 0087 


Becton 


07/06/93 


8:9 NCR 785 


93 ABC 0118 


Morrison 


08/04/93 




93 ABC 0125 


Reilly 


05/13/93 




93 ABC 0182 


Nesnow 


07/29/93 




93 ABC 0232 


Chess 


07/20/93 




93 ABC 0239 


Gray 


08/26/93 




93 ABC 0255 


West 


09/10/93 




93 ABC 0318 


Reilly 


07/22/93 




93 ABC 0326 


Gray 


08/26/93 




93 ABC 0327 


Gray 


08/09/93 




93 ABC 0354 


Morgan 


11/10/93 


8:17 NCR 1712 


93 ABC 0395 


West 


09/14/93 




93 ABC 0407 


Becton 


10/18/93 




93 ABC 0408 


Gray 


11/01/93 




93 ABC 042 1 


West 


09/13/93 




93 ABC 0423 


Gray 


09/17/93 




93 ABC 0430 


Reilly 


10/07/93 




93 ABC 0431 


Nesnow 


09/01/93 




93 ABC 0433 


Morgan 


11/01/93 


8:16 NCR 1553 


93 ABC 0462 


Becton 


10/27/93 




93 ABC 0570 


Reilly 


09/17/93 




93 ABC 0595 


Morgan 


12/20/93 




93 ABC 0601 


Nesnow 


10/28/93 


8:16 NCR 1560 


93 ABC 0611 


West 


10/12/93 




93 ABC 0613 


West 


10/11/93 




93 ABC 0616 


West 


10/13/93 




93 ABC 0633 


Morrison 


11/03/93 




93 ABC 0644 


Gray 


08/10/93 




93 ABC 0667 


Reilly 


12/13/93 





8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



2006 



COXTESTED CASE DECISIONS 



AGENCY 



Alcoholic Be\-erag!; Control Comm. \'. Jerome Hill T'A Comer Pocket 
Venus L. Smith v. Alcoholic Be%crage Control Commission 
Alcohlic Be%'erage Control Comm. v. Partnership t/a RJ's Store 
Alcholic Be\'erage Control Comm. v. En'in Ray Winstiiad 
Alcoholic Be\. Control Comm. v. Mild & Wild, Inc.. Sheila Scholz 



CASE 
>fUMBER 



93 ABC 0672 
93 ABC 0701 
93 ABC 0860 
93 ABC 0890 
93 ABC 1475 



ALJ 



Gray 

Becton 

Mann 

Chess 

Nesnow 



DATE OF 
DECISION 



11/23/93 
12/08/93 
09/29/93 
12/30/93 
03/23/93 



PUBLISHED DECISION 
REGISTER CITATION 



i 



COMMERCE 

Lcslcr Moore v. Weatherizalion Assistance Program 

CRIME CONTROL AND PUBLIC SAFETY 

George W. F^ior v. Crime Victims Compensation Comm. 
Steven A. Bamer v. Crime Victims Compensation Comm. 
Anthony L. Hart v. Victims Compensation Comm. 
Jennifer Ayeis v. Crime Victims Compensation Comm. 
Janie L. Howard v. Crime Victims Compensation Comm. 
Isabelle Hyman v. Crime Victims Compensation Comm. 
James G. Pellom v. Crime Control Sc Public Safety 
Norman E. Brown v. Victims Compensation Commission 
Moses H. Cone Mem Hosp v. Victims Compensation Comm. 
Da\'id &. Jane Spano v. Crime Control <&. Public Safety 
Phillip Edward Moore v. Crime Control & Public Safety 
Norma Jean Purkett v. Crime Victims Compensation Comm. 
Sheila Carter v. Crime Control and Public Safety 
John Wllie Leach v. Crime Victims Compensation Comm. 
Nellie R. Mangum v. Crime Victims Compensation Comm. 
Constance Brown v. Crime Victims Compensation Comm. 
Susan Coy v. Crime Victims Compensation Commission 
Mark A. McCrimmon v. Crime Victims Compensation Comm. 
Rendall K. Rolhrock v. Crime Victims Compensation Comm. 
John Pr\^ssley Moore v. Crime Victims Compensation Comm. 

EMPLO^TVIENT SECURITY COMMISSION 



93 COM 0105 Gray 



03/08/93 



91 CPS 1286 


Morgan 


04/27/93 




92 CPS 0453 


Nesnow 


06/01/93 




92 CPS 0937 


Chess 


03/01/93 




92 CPS 1195 


Reilly 


03/19/93 




92 CPS 1787 


Reilly 


03/26/93 




92 CPS 1807 


Morrison 


05/24/93 




93 CPS 0034 


Gr^ 


05/05/93 




93 CPS 0141 


West 


07/07/93 




93 CPS 0152 


Nesnow 


04/02/93 


8:3 NCR 327 


93 CPS 0160 


Nesnow 


07/30/93 


8:10 NCR 862 


93 CPS 0169 


Nesnow 


05/20/93 




93 CPS 0205 


West 


08/27/93 


8:12 NCR 1171 


93 CPS 0249 


Morgan 


08/25/93 




93 CPS 0263 


Morrison 


05/20/93 




93 CPS 0303 


Morrison 


06/08/93 




93 CPS 0351 


Reilly 


05/24/93 




93 CPS 0623 


Reilly 


09/22/93 




93 CPS 0652 


Bee ton 


12/20/93 


8:20 NCR 2016 


93 CPS 0821 


West 


12/28/93 




93 CPS 1405 


Morrison 


12/29/93 





William H- Peace HI v. Emplc^ment Security Commission 
EN\'IRONMENT, HEALTH. AND NATLTt-AL RESOLTICES 



91 EEC 0536 



Chess 



10/12/93 



8:19 NCR 1914 



Charles L. Wilson v. Environment, Health, & Natural Resources 
J. Bruce Mulligan v. Errvironment, Health, &. Natrual Resources 
Calvin Blythe Davis & George Thomas Da\'is v. EHR 
Michael D. Barnes v. Onslow Cty Hlth &. Environment and EHR 
WTUiam E. Finck v. Environment. Health. & Natural Resources 
Utley C. Stallings v. Environment. Health, & Natural Resources 
Dora Mae Blount on behalf of Joseph T. Midgette v. H>de Cty 

Bd/Commissioners, H\de Cty Bd/Health, & Environment. 

Health, &. Natural Resources 
Thomas G. McHugh v. DEHNR 

A.J. Ballard Jr., Ttre &. Oil Co.. Inc. v. Env., Health. & Nat. Res. 
Safe\».a> Remc^'al. Inc. v. Environment. Health, & Natural Res. 
Wliite Oak Chapter of the Izaak Walton League. Inc.. and 

National F^rks and Conservation Association, Inc. v. 

Division of Solid Waste Management. EHR and H^'wood County 
Southchem. Inc. v. Environment. Health, &. Natural Resources 
Elizabeth City/I^quotank Cty Mun Airport Auth v. EHNR 
W.E. Moulton & Wife, Evelyn Moulton v. Macon County Health Dept. 
Interstate Brands Corp & Donald Letfew v. Err.'., Health. & Nat. Res. 
Service Oil Company v. Environment, Health, & Natural Resources 
Interstate Brands Corp Sl Donald Leffew v. Err.'., Health, &. Nat. Res. 
Residents of Camm &, Shell v. Health En\'ironmental - Septic Tank Div. 
City of Salisbury v. Environment, Health. &. Natural Resources 
Willie M. Watford v. Hertford Gates District Health Department 
Standard Speciality Contractors, Inc. v. EHNR 



91 EHR 0664 


Morgan 


03/23/93 


91 EHR 0773 


West 


07/13/93 


91 EHR 0794 


Morrison 


12/02/93 


91 EHR 0825 


Morgan 


06/21/93 


92 EHR 0040 


Gr^ 


06/14/93 


92 EHR 0062 


Gray 


03/15/93 


92 EHR 0400 


Gray 


10/15/93 


92 EHR 0742 


Becton 


12/28/93 


92 EHR 0754 


Nesnow 


08/30/93 


92 EHR 0826 


West 


03/12/93 


92 EHR 0881 


West 


09/14/93 


92 EHR 0925 


Chess 


11/08/93 


92 EHR 1140 


Gray 


04/13/93 


92 EHR 1144 


Morgan 


11/15/93 


92 EHR 1201*" 


Reilly 


08/12/93 


92 EHR 1205 


Reilly 


05/27/93 


92 EHR 1224*" 


Reilly 


08/12/93 


92 EHR 1462 


Morrison 


08/25/93 


92 EHR 1472 


Morrison 


04/22/93 


92 EHR 1600 


Chess 


03/24/93 


92 EHR 1660 


Reilly 


05/21/93 



8:1 NCR 83 



i 



Consolidated cases. 



2007 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



CONTESTED CASE DECISIONS 



AGENCY 



Shawqi A. Jaber v. Environment, Health, & Natural Resources 

McLeod Leather & Belting Co., Inc. v. Env., Health. & Natural Res. 

Angela Power, Albert Power v. Children's Special Health Svcs. 

Rayco Utilities, Inc. v. Environment, Health, & Natural Resources 

Erby Lamar Grainger v. Environment, Health, & Natural Resources 

Mustafa E. Essa v. Environment, Health, & Natural Resources 

A.J. Holt V. Public Water Supply Section, Div. of Environmental Health 

Charlie Gartield McPheison Swine Fann v. Env., Health, & Nat. Res. 

Keith Cutler. Kathryn Cutler v. Environment, Health, & Natural Res. 

Rosetta Brim^e, Vanessa Pack v. Env. Health of Craven County 

R.L. Stowe Mills, Inc. v. Environment, Health, & Natural Resources 

O.C. StaffonJ/Larry Haney v. Montgomery Cty. Health Dept. 

Patricia Y. Marshall v. Montgomery Cty Health Dept. & EHR 

Fred M. Grooms v. Environment, Health, & Natural Resources 

Bobby Anderson v. Environment, Health, &. Natural Resources 

Shell Bros. Dist., Inc. v. Environment, Health, &. Natural Resources 

Fr^ C. Gosnell & wife, Patricia T. Gosnell v. Env., Health, & Nat. Res. 

Holding Bros., Inc. v. Environment, Health, & Natural Resources 

Tony Tomson, Diane Clase & William J. Stevenson v. EHR 

Tony Tomson, Diane Clasc & William J. Stevenson v. EHR 

Hamilton Beach/Proctor-Silex. Inc. v. Environment, Health, & Natrl Res 

Tim Whitfield v. Environment, Health, & Natural Resources 

Tony Won\;l! v. Environment, Health, & Natural Resources 

L. Terry Fuqua v. Environment, Health, & Natural Resources 

Seth B. Gaskill Jr. v. N.C. Coastal Resources Commission 

Richaid L. Goodman v. Environment, Health, & Natural Resources 

Monroe Gaskill v. DEHNR-Div. of Coastal Management 

Lanny Clifton, Southwind Dev. . Co. v. Div. of Environmental Mgmt. 

Blue Ridge Env. Defense League, Inc. v. Env., Health, & Natrl Res 

Charies Watson v. DEHNR 

Heatcraft Inc. v. Environment, Health, & Natural Resources 



CASE 




DATE OF 


PUBLISHED DECISION 


^fUMBER 


AI.,f 


DECISION 


REGISTER CITATION 


92 EHR 1784 


Becton 


07/07/93 




93 EHR 0003 


Morgan 


10/11/93 


8:15 NCR 1503 


93 EHR 0008 


Bee Ion 


03/24/93 




93 EHR 0063 


Morrison 


09/17/93 




93 EHR 0071 


Reilly 


06/21/93 




93 EHR 0146 


Gray 


03/29/93 




93 EHR 0168 


West 


10/25/93 




93 EHR 0181 


Reilly 


07/23/93 


8:10 NCR 870 


93 EHR 0185 


Morrison 


10/20/93 




93 EHR 0206 


Nesnow 


05/20/93 




93 EHR 0219 


Morrison 


08/11/93 


8:11 NCR 996 


93 EHR 0224 


Gray 


06/07/93 




93 EHR 0252 


Gray 


10/22/93 




93 EHR 0276 


West 


08/27/93 


8:12 NCR 1176 


93 EHR 0299 


Reilly 


06/07/93 




93 EHR 0308 


Becton 


05/18/93 




93 EHR 0340 


Becton 


08/11/93 




93 EHR 0380 


Nesnow 


08/03/93 


8:11 NCR 1001 


93 EHR 0466*"- 


Reilly 


11/30/93 




93 EHR 0467*'- 


Reilly 


11/30/93 




93 EHR 0477 


Reilly 


06/29/93 




93 EHR 0520 


Gray 


12/16/93 




93 EHR 0587 


Morgan 


1 1/08/93 




93 EHR 0624 


Reilly 


11/08/93 




93 EHR 0635 


Nesnow 


11/18/93 




93 EHR 0783 


Reilly 


11/24/93 




93 EHR 0802 


Chess 


10/13/93 




93 EHR 0848 


Becton 


10/20/93 




93 EHR 0862 


Nesnow 


10/11/93 




93 EHR 0981 


West 


12/20/93 




93 EHR 1021 


Morrison 


12/20/93 





HUMAN RELATIONS COMMISSION 

Human Relations Comm. on behalf of Tyrone Clark V. Myinle Wilson 92 HRC 0560 Becton 09/07/93 8:13 NCR 1287 

Human Relations Comm. on behalf of Mareha Crisco V. Hayden Morrison 93 HRC 0167 Reilly 08/18/93 8:12 NCR 1168 

HUMAN RESOURCES 



O.C. Williams v. Human Resources 

Ronald Terry Brown v. Human Resources 

Dennis K. King v. Human Resources 

Cathy Harris, A/K/A Cathy D. Grubb v. Human Resources 

Raymond L. Griffin v. Human Resources 

O.C. Williams v. Human Resources 

Michael L. Ray v. Human Resources 

Randy Chambliss v. Human Resources 

Melvin White v. Human Resources 

Joseph R. Kavaliauskas Jr. v. Human Resources 

Larry D. Bcyd v. Human Resources 

Jefferson D. Boylen v. Human Resources 

Jetfery D. Williams v. Human Resources 

Jerry L. Summers v. Human Resources 

Samuel E. Massenbei^ Jr v. Human Resources 

William A. Dixon v. Human Resources 

Gregory L. Washington v. Human Resources 

Edwin Clarke v. Human Resources 

Dwayne Allen v. Human Resources 

Edwin Ivester v. Human Resources 

Connie F Epps, Otis Junior Epps v. Human Resources 

Tyrone Aiken v. Human Resourc-es 

Everett M. Eaton v. Human Resources 

Eugene Johnson v. Human Resources 

Edvaid E. Brandon v. Human Resources 

James Sisk Jr. v. Human Resources 

Thomas M. Birdwell III v. Human Resources 

Darren W. Russell v. Human Resources 

John Henry Byrd v. Human Resources 



91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 
91 CSE 

91 CSE 

92 CSE 
92 CSE 
92 CSE 
92 CSE 
92 CSE 
92 CSE 
92 CSE 
92 CSE 
92 CSE 
92 CSE 
92 CSE 
92 CSE 
92 CSE 



0036*- 

0249 

1122 

1131 

1148 

1158*' 

1173 

1187 

1192 

1204 

1214 

1217 

1231 

1234 

1249 

1277 

0075 

0129 

0196 

0268 

1182 

1217 

1221 

1229 

1237 

1238 

1240 

1249 

1250 



Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morgan 

Morrison 

Morgan 

Morgan 

Morgan 

Nesnow 

Reilly 

Gray 

Reilly 

Nesnow 

Gray 

Reilly 

Reilly 

Becton 

Reilly 



03/30/93 
05/17/93 
07/28/93 
08/24/93 
08/24/93 
03/30/93 
05/17/93 
04/28/93 
05/17/93 
07/29/93 
08/24/93 
05/17/93 
04/28/93 
07/28/93 
05/17/93 
03/04/93 
04/01/93 
05/17/93 
03/31/93 
03/30/93 
07/22/93 
06/17/93 
07/27/93 
11/16/93 
04/16/93 
11/17/93 
12/09/93 
04/20/93 
06/04/93 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



2008 



CONTESTED CASE DECISIONS 



AGENCY 



Aaron James Alford v. Human Resources 
Michelle D. Mohle^' v. Human Resources 
Gus W, Long Jr. v. Human Resources 
Robert E. Watson v. Human Resources 
Connell R. Goodson v. Human Resources 
B\ run Christopher Williams v. Human Resources 
Elijah G. Deanes v. Human Resources 
James W. Bell v. Human Resources 
Charles W. Stall Jr. v. Human Resources 
Wlliam A. Wilson IH v. Human Resources 
Enc Stanley Stokes v. Human Resources 
Clayton L. Littleton v. Human Resources 
Frank E. Johnson v. Human Resources 
David Rollins v. Human Resourc-es 
Willie Sam Brown v. Human Resources 
LyndcU Greene v. Human Resources 
Charles Swann v. Human Resourc-es 
Joe B. Reece v. Human Resourc'es 
Michael Anthoi^' Dean v. Human Resources 
Gregory W. Alfotd v. Human Resources 
Leroy Snuggs v. Human Resources 
James R Miller III v. Human Resources 
Herbert H. Fordham v. Human Resources 
Jack Dulq v. Human Resources 
Jesse B. Williams v. Human Resources 
Johnr^ Victor Dcbity v. Human Resources 
Larry L. Crowder v. Human Resources 
Carlos Bernard Davis v. Human Resources 
Ocie C. Williams v. Human Resources 
Terrance Freeman \'. Human Resources 
Fli^d Excell Slatfotd v. Human Resources 
Timothy Brian EUer v. Human Resources 
Charles S. Ferrer v. Human Resources 
Ronald H. Lockli^ v. Human Resources 
Rene Thomas Rittenhouse v. Human Resources 
Thomas Edward Williamson v. Human Resources 
Roy Chester Robinson v. Human Resources 
Lynwood McClinlon v. Human Resources 
Timothy Scotl Long \'. Human Resourc^es 
Kenneth Lamar Massey v. Human Resources 
David W. Williams v. Human Resources 
William E. Ingram v. Human Resources 
Haa^ld R. Pledger v. Human Resources 
Kenneth Wayne Wiggins v. Human Resources 
Carl Beard v. Human Resources 
Henry Alston Jr. v. Human Resources 
Gary Lewis Doster v. Human Resources 
Raymond L. Head v. Human Resources 
Mark R. Charles v. Human Resources 
Michael W. Bentl^ v. Human Resources 
Robert D. Knoll Jr. v. Human Resources 
Dale Robert Siuhrc v. Human Resources 
James T Carter Jr. v. Human Resources 
Tommy Malone v. Human Resources 
James C. Dixon Jr. v. Human Resources 
Timothy R. Currtnce v. Human Resources 
Waniell Walker v. Human Resources 
Wallace M. Cooper v. Human Resources 
Jar\is N. Price v. Human Resources 
Thomas L. ^'ates \'. Human Resourc^es 
Cleamce Ray T^lor v. Human Resources 
Robert E. Tarlton Sr. v. Human Resources 
Rodn^' Devard demons v. Human Resources 
James A. Coleman \. Human Resources 
Lee Richard Jones v. Human Resources 
Romeo F Skapple v. Human Resources 
Terrial W. Mayberry v. Human Resources 
Jeffrey L. Garrett v. Human Resources 



CA. 


»E 




DATE OF 


IVUMBER 


ALJ 


DECISION 


92CSE 


1253 


Bee ion 


12/06/93 


92CSE 


1256 


Nesnow 


04/15/93 


92 CSE 


1263 


Gray 


08/16/93 


92 CSE 


1265 


RciUy 


05/06/93 


92 CSE 


1267 


Gray 


12/07/93 


92 CSE 


1270 


Nesnow 


04/26/93 


92 CSE 


1273 


Nesnou' 


11/17/93 


92 CSE 


1311 


Nesnoft' 


05/10/93 


92 CSE 


1313 


Mann 


07/06/93 


92 CSE 


1315 


Reilly 


12/07/93 


92 CSE 1316*^ 


Reilly 


03/25/93 


92 CSE 


1317 


Morrison 


09/02/93 


92 CSE 


1326 


Reilly 


08/16/93 


92 CSE 


1334 


Morrison 


05/06/93 


92 CSE 


1338 


Morrison 


09/15/93 


92 CSE 


1346 


Nesnow 


04/16/93 


92 CSE 


1347 


West 


09/16/93 


92 CSE 


1355 


Mann 


10/12/93 


92 CSE 


1356 


Morrison 


08/13/93 


92 CSE 


1358 


Gray 


10/18/93 


92 CSE 


1360 


Morrison 


04/15/93 


92 CSE 


1361 


Gray 


04/16/93 


92 CSE 


1362 


Nesnow 


07/19/93 


92 CSE 


1374 


Gray 


07/16/93 


92 CSE 


1389 


Nesnow 


10/12/93 


92 CSE 


1393 


Mann 


11/15/93 


92 CSE 


1396 


Reilly 


04/15/93 


92 CSE 


1404 


Reilly 


04/15/93 


92 CSE 


1405 


Mann 


06/25/93 


92 CSE 


1411 


Mann 


06/07/93 


92 CSE 


1412 


Reilly 


08/31/93 


92 CSE 


1414 


Reilly 


04/20/93 


92 CSE 


1416 


Mann 


04/15/93 


92 CSE 


1418 


Nesnow 


04/20/93 


92 CSE 


1421 


Nesnow 


04/20/93 


92 CSE 


1422 


Reilly 


04/20/93 


92 CSE 


1423 


Reilly 


04/15/93 


92 CSE 


1424 


Reilly 


09/15/93 


92 CSE 


1445 


Becton 


06/29/93 


92 CSE 


1447 


Reilly 


12/07/93 


92 CSE 


1448 


Nesnow 


07/19/93 


92 CSE 


1450 


Reilly 


04/15/93 


92 CSE 


1455 


Morrison 


05/20/93 


92 CSE 


1458 


Gray 


12/13/93 


92 CSE 


1459 


Reilly 


09/08/93 


92 CSE 


1460 


Becton 


06/29/93 


92 CSE 


1461 


Morrison 


10/21/93 


92 CSE 


1510 


Mann 


11/18/93 


92 CSE 


1511 


Becton 


11/17/93 


92 CSE 


1512 


Nesnow 


06/09/93 


92 CSE 


1515 


Nesnow 


11/17/93 


92 CSE 


1516 


Reilly 


05/11/93 


92 CSE 


1517 


Mann 


08/31/93 


92 CSE 


1520 


Mann 


05/07/93 


92 CSE 1522 


Becton 


05/11/93 


92 CSE 


1523 


Reilly 


09/09/93 


92 CSE 


1524 


Reilly 


10/12'93 


92 CSE 1527 


Reilly 


05/11/93 


92 CSE 


1531 


Morrison 


05/12/93 


92 CSE 


1535 


Gi:ay 


05/10/93 


92 CSE 


1538 


Morrison 


11/18/93 


92 CSE 


1536 


Gray- 


05/17/93 


92 CSE 


1539 


Gray 


05/10/93 


92 CSE 


1540 


Reilly 


05/11/93 


92 CSE 


1541 


Reilly 


09/08/93 


92 CSE 


1545 


Gn^- 


04/26/93 


92 CSE 


1546 


Reilly 


10/12/93 


92 CSE 


1557 


Gra\ 


04/22/93 



PUBLISHED DECISION 
REGISTER CITATION 



{ 



{ 



{ 



2009 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



CONTESTED CASE DECISIONS 



AGENCY 



Edward Kirk v. Human Resources 
William C. Hubbaid v. Human Resources 
William Michael Przytysz v. Human Resources 
Kevin Keith Witmorc v. Human Resources 
George A. Rinell v. Human Resources 
Edward Fitch v. Human Resources 
David Rohinetfc v. Human Resources 
Harvey H. Boyd v. Human Resources 
Kit C. Elmore v. Human Resources 
Brian C. Gilmor^ v. Human Resources 
Philip S. Pien^y v. Human Resources 
Anthony McLaughlin v. Human Resources 
Johnny W. Cooke v. Human Resources 
Roland L. EssafF v. Human Resources 
Isaac Maxwell v. Human Resources 
Donald J. Ray v. Human Resources 
Barbara A. Chaperon v. Human Resources 
Kenneth Eugene Johnson v. Human Resources 
Derrick Carter v. Human Resources 
Charles Wayne Pier\:e v. Human Resources 
Gregory L. Vemcy v. Human Resources 
Donna G. Knotts v. Human Resources 
Robert Jerome Sutton v. Human Resources 
Donald R. Williams v. Human Resources 
McKinlc^ Clyhum v. Human Resources 
Henry L. Taylor v. Human Resources 
Tony Thorpe v. Human Resources 
Jetfery D. Williams v. Human Resources 
Ronald Sowell v. Human Resources 
Billy Smith v. Human Resources 
Rawn Weigel v. Human Resources 
Anthoiiy Curry v. Human Resources 
John G. Williams v. Human Resources 
Larry W. Golden v. Human Resources 
William J. Carter v. Human Resources 
Mark W. Dean v. Human Resources 
Linda D. McDonald v. Human Resources 
Tyrone Thomas v. Human Resources 
Rilton E. May v. Human Resources 
Milton Kendricks v. Human Resources 
Joe K. Martin V. Human Resources 
Eric Stanley Stokes v. Human Resources 
Er^kin J. Thompson v. Human Resources 
Larry Thompson v. Human Resources 
Billie J. Smith v. Human Resources 
Patrick Floyd v. Human Resources 
James Eric Frost v. Human Resources 
Dennis W. Nolan v. Human Resources 
Eric L. Garland v. Human Resources 
Ira Alston Jr. v. Human Resources 
Elvis Bernard Telfair v. Human Resources 
Ronald G. Bolden v. Human Resources 
Rodni^ H. Allen, MD v. Human Resources 
Donnell E. Byrd v. Human Resources 
Marvin Holl^ v. Human Resources 
Eddie Short v. Human Resources 
Michael Tywan Marsh v. Human Resources 
Leroy Jones v. Human Resources 
Antonio M. Townsend v. Human Resources 
Kevin J. Close v. Human Resources 
Norman Gatewood v. Human Resources 
Thadius Bonapart v. Human Resources 
Ronald Norman v. Human Resources 
Joseph Eric Lewis v. Human Resources 
Ronald Dean Lowery v. Human Resources 
Tamera S. Hatfield v. Human Resources 
Michael Wayne Bryant v. Human Resources 
James E. Blaknify v. Human Resources 



CASE 




DATE OF PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION REGISTER CITATION 


92 CSE 


1560 


Gray 


06/29/93 


92CSE 


1562 


Mann 


05/12/93 


92 CSE 


1565 


Bccton 


07/23/93 


92 CSE 


1566 


Reilly 


11/01/93 


92 CSE 


1569 


Gray 


12/09/93 


92 CSE 


1572 


Reilly 


05/11/93 


92 CSE 


1573 


Mann 


07/14/93 


92 CSE 


1574 


Reilly 


12/09/93 


92 CSE 


1575 


Gray 


07/16/93 


92 CSE 


1576 


Gray 


04/26/93 


92 CSE 


1577 


Gray 


07/16/93 


92 CSE 


1582 


Gray 


06/29/93 


92 CSE 1585 


Beclon 


05/11/93 


92 CSE 1588 


Morrison 


07/26/93 


92 CSE 1589 


Reilly 


04/26/93 


92 CSE 


1592 


Mann 


05/19/93 


92 CSE 


1593 


Mann 


10/13/93 


92 CSE 1594 


Reilly 


11/01/93 


92 CSE 


1595 


Gray 


11/17/93 


92 CSE 


1596 


Morrison 


07/14/93 


92 CSE 


1610 


Gray 


11/09/93 


92 CSE 


1611 


Morrison 


07/16/93 


92 CSE 


1618 


Chess 


10/12/93 


92 CSE 


1622 


Nesnow 


08/04/93 


92 CSE 


1623 


Morrison 


05/20/93 


92 CSE 


1624 


Mann 


09/15/93 


92 CSE 


1625 


Chess 


07/15/93 


92 CSE 


1626 


Mann 


05/19/93 


92 CSE 


1627 


Reilly 


07/19/93 


92 CSE 1629 


Reilly 


03/25/93 


92 CSE 


1630 


Mann 


11/18/93 


92 CSE 


1631 


Reilly 


03/25/93 


92 CSE 


1632 


Mann 


08/10/93 


92 CSE 


1633 


Reilly 


03/25/93 


92 CSE 


1637 


Nesnow 


05/19/93 


92 CSE 


1538 


Reilly 


07/15/93 


92 CSE 


1639 


Gray 


10/19/93 


92 CSE 


1640 


Mann 


07/22/93 


92 CSE 


1642 


Morgan 


07/29/93 


92 CSE 


1647 


Gray 


12/07/93 


92 CSE 


1650 


Reilly 


09/10/93 


92 CSE 1652*' 


Reilly 


03/25/93 


92 CSE 


1653 


Gray 


11/17/93 


92 CSE 


1655 


Reilly 


07/22/93 


92 CSE 


1656 


Gray 


07/23/93 


92 CSE 


1663 


Reilly 


05/20/93 


92 CSE 


1669 


Mann 


11/18/93 


92 CSE 


1670 


Morrison 


06/25/93 


92 CSE 


1671 


Mann 


07/22/93 


92 CSE 


1703 


Becton 


06/16/93 


92 CSE 1704 


Reilly 


09/15/93 


92 CSE 


1706 


Mann 


06/25/93 


92 CSE 


1707 


Morrison 


11/18/93 


92 CSE 


1712 


Chess 


10/22/93 


92 CSE 


1713 


Mann 


06/08/93 


92 CSE 


1714 


West 


07/15/93 


92 CSE 


1716 


Gray 


06/17/93 


92 CSE 


1718 


Gray 


06/17/93 


92 CSE 


1721 


Chess 


08/30/93 


92 CSE 


1727 


Chess 


08/30/93 


92 CSE 


1728 


Chess 


10/22/93 


92 CSE 


1740 


Chess 


09/21/93 


92 CSE 


1746 


Chess 


10/14/93 


92 CSE 


1748 


Becton 


08/02/93 


92 CSE 


1771 


West 


07/15/93 


92 CSE 


1772 


Chess 


08/30/93 


92 CSE 


1773 


Chess 


10/22/93 


92 CSE 


1779 


Nesnow 


05/13/93 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



2010 



CONTESTED CASE DECISIONS 



AGENCY 



E- Burt Davis Jr. v. Human Resources 

Nelson Fowler Jr. v. Human Resources 

Oswinn Blue v. Human Resources 

Charles E. Whiteley v. Human Resources 

Kelvin D. Jackson v. Human Resources 

Linwood Stalon v. Human Resources 

Anlhon)' Walson v. Human Resources 

Eugene Po\k v. Human Resources 

Steve R. Tallent v Human Resources 

Charles A. Morgan v. Human Resources 

Glenda K. HoUiheld v. Human Resourc^es 

Quinton Brii-khouse v. Human Resourc-es 

Kenneth W. Williams v. Human Resources 

Charles Thompson Jr. v. Human Resources 

Barbara W. Catlett v. Human Resources 

Laurcl Langford v. Human Resources 

Ida Diane Davis v. Human Resources 

Hatsuko Klein v. Human Resources 

Karen MuUins Martin v. Human Resources 

Ora Lee Brinkl*^ v. David T. Flaherty. Secretary of Human Resources 

Leon Barbee v. Human Resources 

Carrolton of Dunn, Inc. v. Human Resources 

Dial>^is Care of North Carolina, Inc., d/b/a Dialysis Care of 
Cumberland County v. Human Resources. Division of Facility 
Services, Certificate of Need Section, and Bio-Medical 
Applications of Fayetteville d/b/a Fayetleville Kidni^ Center, 
Webb-Loha-'ichan-Melion Rentals, Bio-Medical Applications 
of North Carolina. Inc. d/b/a BMA of Raeford and Wcbb- 
Lohavichan Rentals 

Dialysis Care of North Carolina, Inc.. d/b/a Dial>sis Care of 
Cumberland County v. Human Resources, Division of Facility 
Serv'ices, Certificate of Need Section, and Bio-Medical 
Applications of Fayetteville d/b/a Fayetteville Kidnt^ Center, 
Webb-Loha/ichan-Melton Rentals, Bio-Medical Applications 
of North Carolina. Inc., d/b/a BMA of Raeforcl and Webb- 
Lohavichan Rentals 

Bio-Medical Applications of North Carolina, Inc., d/b/a BMA 
of RaefonJ, Webb-Loha-'ichan-Melton Rentals. Bio-Medical 
Applications of North Carolina. Inc., d/b/a BMA of Fayetteville 
d/b/a F^etleviUe Kidnt^ Center and Webb-Loha'ichan Rentals 
V. Human Resources. Division of Facility Services, Certificate of 
Need Section and Dialysis Care of North Carolina, Inc., d/b/a 
Dialysis Care of Hoke County 

Renal Care of Rocky Mount, Inc. v. Human Resources, Division of 
Facility Services, Certificate of Need Section, and Bio-Medical 
Applications of North Carolina, Inc.. d/b/a BMA of Tarborc), 
Rocky Mount Nephrology Associates, Inc.. Bio-Medical 
Applications of North Carolina, Inc., d/b/a BMA of Rocky Mount 
d/b/a Rocky Mount Kidney Center, and Rocky Mount Kidney Center 
Associates 

James H. Hunt Jr. v. Division of Medical Assistance 

Barbara Jones v. Human Resourc-es 

Joyce P. Williams v. Human Resources 

Snoopy Day Care, Diane Hamby v. Child Day Care Licensing 

Cynthia Reed v. Human Resources 

The Neighborhood Center v. Human Resources 

Helm's Rest Home, Ron J. Schimpf/Edith H. Wilson v. Human Resources 

Jo Ann Kinsey v. NC Memorial Hospital Betty Hulton, Volunteer Svc. 

Amy Clara Williamson v. NC Mem Hosp Betty Hulton, Volunteer Svc. 

Betty Butler V. Human Resourc-es 

Wayne Sanders and Brcnda Sandeis v. Human Resources 

Brittha'en. Inc. v. Human Resources & Valdese Nursing Home, Inc. 

Samuel Benson v. Office of Admin. Hearings for Medicaid 

James W. McCall. Alice V. McCall v. Human Resources 

Vemice Whisnant v. Human Resources 

Nell Brooks v. Child Day Care Section, Cherokee Cty Dept/Social Svcs 

Cabarrus Cty Dept. of Social Svcs. v. Human Resources 

Hannah F. Tonkel v. Human Resources 



CASE 




DATE OF 


NUMBER 


AL,J 


DECISION 


92CSE 1780 


Gray 


11/17/93 


93 CSE 0050 


Chess 


10/18/93 


93 CSE 0073 


Chess 


08/03/93 


93 CSE 0183 


Bee ton 


11/10/93 


93 CSE 0221 


West 


08/04/93 


93 CSE 0250 


Nesnow 


08/13/93 


93 CSE 0396 


Nesncw 


08/04/93 


93 CSE 0437 


Chess 


08/11/93 


93 CSE 0448 


West 


10/29/93 


93 CSE 0518 


West 


11/09/93 


93 CSE 0545 


West 


10/11/93 


93 CSE 0576 


Gray 


11/17/93 


93 CSE 0590 


Reilly 


10/18/93 


93 CSE 0696 


Morrison 


09/23/93 


92 DCS 0577 


West 


03/15/93 


92 DCS 1181 


Gray 


05/04/93 


92 DCS 1200 


Gray 


03/29/93 


92 DCS 1271 


Reilly 


05/05/93 


92 DCS 1783 


West 


08/04/93 


92 DHR 0608 


Chess 


08/27/93 


92 DHR 0658 


Morrison 


04/30/93 


92 DHR 1101 


Morgan 


07/26/93 


92 DHR U09*' 


Morgan 


06/22/93 



PUBLISHED DECISION 
REGISTER CITATION 



92 DHR 1 no** Motgan 06/22/93 



92 DHR 1116*' Morgan 06/22/93 



92 DHR 1120 



Gray 



06/18/93 



i 



8:5 NCR 441 



;:4 NCR 392 
;:8 NCR 687 



8:8 NCR 687 



{ 



8:8 NCR 687 



8:8 NCR 687 



92 DHR 


1145 


Becton 


05/13/93 


8:5 NCR 443 


92 DHR 


1192 


Nesnow 


04/02/93 


8:3 NCR 313 


92 DHR 


1275 


Gray 


03/15/93 




92 DHR 


1320 


Morgan 


05/21/93 




92 DHR 


1329 


Chess 


05/10/93 




92 DHR 


1375 


Chess 


08/02/93 




92 DHR 


1604 


Reilly 


05/10/93 




92 DHR 


1612 


Chess 


03/08/93 




92 DHR 


1613 


Chess 


03/08/93 




92 DHR 


1614 


Chess 


03/09/93 




92 DHR 


1699 


Reilly 


06/07/93 


8:7 NCR 632 


92 DHR 


1785 


Gray 


09/17/93 




93 DHR 0010 


Becton 


03/11/93 




93 DHR 0102 


Morgan 


10/05/93 




93 DHR 0332 


Morgan 


09/23/93 




93 DHR 0343 


Becton 


11/29/93 


8:18 NCR 1832 


93 DHR 0373 


Morgan 


07/20/93 




93 DHR 0378 


Nesnow 


09/10/93 





i 



2011 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



CONTESTED CASE DECISIONS 



AGENCY 



Fannie Lewis v. Human Resources 

Human Resources, Div. of Child Development v. Susan Amato 

Katie Kelly v. Human Resources 

A.C., by & through her agent & pergonal rep. Hank Neal v. Human Res. 

Venola Hall. Agape Day Care v. Human Resources 

Warren Cty NC Lucious Hawkins v. Human Resources, C. Robin Britt 

Christopher Durrcr, Wilson Memorial Hospital v. Human Resources 

Mary McDuffie v. Human Resources Child Development 

Darryl A. Richardson v. Human Resources 

Home Health Prof., Barbara P. Bradsher, Admin v. Human Resources 

Sandra Gail Wilson v. Child Abuse/Neglect, Div. of Child Development 

Thomas M. Moss v. Human Resources 

Rosa Wall v. Nuree Aide Registry, Charge of Abuse 

Frank S. & Susie R. Wells v. New Hano^'er Cty. Dept of Social Svcs. 

Mattie and Johni^ Smith v. Lenoir County Department of Social Services 



CASE 




DATE OF 


PUBLISHED DECISION 


>aJMBER 


ALJ 


DECISION 


REGISTER CITATION 


93 DHR 0379 


Gray 


06/28/93 




93 DHR 0418 


Morgan 


08/26/93 




93 DHR 0441 


Chess 


07/26/93 




93 DHR 0529 


Nesnow 


12/06/93 


8:19 NCR 1926 


93 DHR 0535 


Mann 


10/22/93 




93 DHR 0540 


Gray 


12/06/93 




93 DHR 0566 


Chess 


09/17/93 




93 DHR 0651 


Bee ton 


09/10/93 




93 DHR 0679 


Bee ton 


09/30/93 




93 DHR 0737 


Chess 


09/23/93 




93 DHR 0782 


Nesnow 


09/09/93 




93 DHR 0864 


Chess 


11/05/93 




93 DHR 0881 


West 


12/15/93 




93 DHR 0922 


Nesnow 


11/08/93 




93 DHR 1176 


Morrison 


12/29/93 





INSURANCE 



Carolyn M. Hair v. St Emplcyees Comprchcnsive Major Medical 
Scotland Memorial Hospital, Mary Home Odom v. Bd. /Trustees// 
St. of N.C. Teachers' & St. Emp. Comp. Major Medical Plan, and 
David G. Devries, as Exec. Admin, of the N.C. Teachers' & St. Emp. 
Comp. Major Medical Plan 
Phyllis C. Harris v. Teacheis' & St. Emp. Comp. Major Med. Plan 
Jarmaine Knight v. Ms. Shirley H. Williams, Insurance 



92 INS 1464 
92 INS 1791 



93 INS 0197 
93 INS 1056 



Chess 

Reilly 



Nesnow 
West 



03/10/93 
08/19/93 



07/29/93 
12/01/93 



JUSTICE 



Philip B. Gates v. Justice, Attorn^ General's Office 

Donald Wdlaid Johnson v. Criminal Justice Ed. & Training Stds. Comm. 

Jennii^ Michael Bostic v. Sheriffs' Ed. Sl Traning Stds. Comm. 

Colin Carlisle M^ers v. Sheriffs' Ed. & Trainii^ Stds. Comm. 

Jennir^ Michael Bostic v. Sheriffs' Ed. »S: Traning Stds. Comm. 

Michael Charles Kershner v. Criminal Justice Ed &. Training Stds Comm 

George Wilton Hawkins v. Criminal Justice Ed. &. Training Stds. Comm. 

Marilyn Jean Britt v. Criminal Justice Ed. & Training Stds. Comm. 

Tim McCoy Deck v. Criminal Justice Ed. &, Training Stds. Comm. 

Richard Zander Frink v. Criminal Justice Ed. &. Tranir^ Stds. Comm. 

Sherri Ferguson Revis v. Sheriffs' Ed. &, Trainii^ Stds. Comm. 

Mark Thomas v. Sheriffs' Ed. & Trainii^ Standards Commission 

George Wilton Hawkins v. Sheriffs' Ed. & Training Stds. Comm. 

Noel B. Rice v. Criminal Justice Ed. & Training Standards Comm. 

Lonnie Allen Fox v. Sheriffs' Ed. & Trainir^ Standards Commission 

Alarm Systems Licensing Bd. v. Eric Hoover 

Alarm Systems Licensing Bd. v. Vivian Darlene Gailher 

Rebecca W. Stevenson v. Criminal Justice Ed. &, Trainir^ Stds. Comm. 

Lloyd Harrison Bryant Jr. v. Criminal Justice Ed & Training Stds Comm 

Wdliam B. Lipscomb v. Private Protective Services Board 

Private Protective Svcs. Bd. v. Fr^ D. Rector 

Private Protective Svcs. Bd. v. Alan D. Simpson 

William M. Medlin v. Sheriffs" Ed. Sc Training Stds. Comm. 

Karl L. Halsey Sr. v. Criminal Justice Ed. & Trainir^ Stds. Comm. 

Charles Freeman v. Sheriffs' Ed. & Training Stds. Comm. 

Shayne K. MacKinnon v. Sheriffs' Ed. &. Training Stds. Comm. 

Carl Michael O'Byme v. Alarm Systems Licensing Board 

Gary D. Cunningham v. Private Pnotective Services Board 

Private Protective Services Board v. Michael A. McDonald 

Levon Braswell v. Private Protective Services Board 

Dale Alvin Rcyd v. Private Protective Services Board 



90 DOJ 0353 


Morgan 


08/30/93 


8:13 NCR 1281 


92 DOJ 0420 


West 


11/05/93 


8:17 NCR 1705 


92 DOJ 0656*' 


West 


06/22/93 




92 DOJ 0761 


Morrison 


05/10/93 




92 DOJ 0829*' 


West 


06/22/93 




92 DOJ 0869 


Morgan 


08/11/93 




92 DOJ 1081*' 


Morgan 


07/09/93 




92 DOJ 1088 


Monison 


03/16/93 




92 DOJ 1367 


Chess 


04/01/93 




92 DOJ 1465 


Nesnow 


05/28/93 




92 DOJ 1756 


Gray 


03/23/93 




93 DOJ 0151 


West 


04/21/93 




93 DOJ 0156*' 


Morgan 


07/09/93 




93 DOJ 0174 


Morrison 


12/13/93 




93 DOJ 0196 


Morrison 


08/09/93 




93 DOJ 0201 


Becton 


07/12/93 




93 DOJ 0202 


Chess 


05/10/93 




93 DOJ 0357 


Morrison 


09/13/93 




93 DOJ 0377 


Reilly 


08/31/93 




93 DOJ 0458 


Morrison 


06/01/93 




93 DOJ 0479 


Mann 


08/19/93 




93 DOJ 0480 


West 


07/21/93 




93 DOJ 0569 


Chess 


10/06/93 




93 DOJ 0625 


Gray 


12/01/93 




93 DOJ 0685 


Nesnow 


12/06/93 




93 DOJ 0686 


Nesnow 


12/16/93 




93 DOJ 0844 


Nesnow 


09/08/93 


8:13 NCR 1300 


93 DOJ 0845 


Reilly 


12/22/93 




93 DOJ 0975 


Gray 


11/29/93 




93 DOJ 1003 


Morrison 


12/29/93 


8:20 NCR 2020 


93 DOJ 1472 


Morrison 


12/30/93 





LABOR 



Greensboro Golf Center, Inc. v. Labor 

Ronald Dennis Hunt v. Labor 

Jeffrey M. McKJnney v. Labor 

I^tor Larry C. Taylor Waisaw Church of God ■ 



Labor 



92 DOL 0204 
92 DOL 1319 

92 DOL 1333 

93 DOL 0961 



Nesnow 04/15/93 

Moi^an 06/17/93 

Morrison 06/21/93 

West 11/16/93 



MORTUARY SCIENCE 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



2012 



CONTESTED CASE DECISIONS 



AGENCY 

Board oi Mortuary Science v. Triangle Pnineral Chapel, Inc. 

PUBLIC INSTRUCTION 

Arnold O. Herring v. Public Instruction 

Frances F. Davis, Parent of Joseph E. Davis v. Public Instrrjctlon 

Donna Marie Snyder v. Public Instruction 

Virginia Willought^ v. Craven County Boaid of Education 



CASE 
NUMBER 



92 BMS 1 169 



ALJ 



Reilly 



91 EDC 0858 Becton 

93 EDC 0628 Mann 

93 EDC 073 1 Nesnow' 

93 EDC 1143 Mann 



DATE OF 
DECISION 



04/29/93 



10/20/93 
07/29/93 
09/16/93 
12/17/93 



PUBLISHED DECISION 
REGISTER CITATION 



8:4 NCR 396 



i 



8:20 NCR 2022 



STATE PERSONNEL 

Frances K. Pale v. Transportation 

Lawrence D. Wilkie, Jerry R. Evans, Jules R. Hancarl, 

James H. Johnson, James D. Fishel v. Justice 
Lawrence D. WiUde, Jerry R. Evans, Jules R. Hancart. 

James H. Johnson, James D. Fishel v. Justice 
Lawrence D. Wilkie, Jerry R. Ev-ans, Jules R. Hancart, 

James H. Johnson, James D. Fishel v. Justice 
Lawrtince D. Wilkie, Jerry R. Evans, Jules R. Hancart, 

James H. Johnson. James D. Fishel v. Justice 
Lawrence D. Wilkie, Jerry R. Evans, Jules R. Hancart, 

James H. Johnson. James D. Fishel v. Justice 
Connie B. Lee v. Justice 

Donald Allen Rutschman v. UNC Greensboro, Office of Human Res. 
Bemie B. Kellly v. Correction 

William H. Peace III v. Emplcymenl Security Commission 
Brcnda G. Mitchell v. Comsclion 
Walton M- Pittman v. Correction 

Adolph Alexander Justice Jr. v. Motor Vehicles, Transportation 
Clayton Brewer v. North Carolina State University 
Sherman Daye v. Transportetion 
Donnie M, Wliite v. Correction 

Gregory Samuel Parker v. Environment. Health, & Natural Resources 
Renee E. Shepheid v. Winston-Salem State Univeisity 
£^"3 Dockery v. Human Resources 

Lee R Crosl^ v. Michael Kelly, William Meyer and EHR 
William Marshall Bcyd Jr. v. County Commissioners of Hyie & 

Certain Board of Health Members 
Grcgor\' Samuel Parker v. Environment, Health. &. Natural Resources 
Willie Granville Bailt^" v. Winston-Salem State University 
Maltie W. Smith v. State Agricultural and Technical University 
Julia Spinks v. Environment. Health, &. Natural Resources 
James B. Price v. Transporlation 
I. Gary Nailling v. UNC-CH 
Deborah Barber v. Correction 
Lav'eme B. Hill v. Transportation 
Timmy D. Wilkins v. Transportation 

Sarah W. Britt v. Human Resources. C.A. Dillon School, CPS 
Charles Robinson v. Revenue 

Arma L. Spencer v. Mecklenburg County Area Mental Health 
Herman James Goldstein v. UNC-Chapel Hill el al. 
Ronnie H. Mozingo v. Correction 
Glinda C. Smith v. Wildlife Resources Commission 
Cindy G. Bartlett v. Correction 

William Kenneth Smith Jr v. Broughton Hospital (Human Resources) 
Larry O. Nobles v. Human Resources 

Beatrice Wheless v. Lise M. Miller, University Payroll Off., NC St. Univ. 
Tracey Hall v. N.C. Central U, Off. of Scholaiship & Student Aid 
Sondra Williams v. Wlnston-Salem State University 
Willie Thomas Hope v. Transportetion 
David Scales v. Correction 

Suzanne Ransle^- Hill v. En\'ironmenl, Health, &. Nat. Res. 
Herman James Goldstein v. UNC-Chapel Hill et al. 
Charles NL Blackwelder v. Correction 

Beatrice Wheless v. Lise M. Miller. University Paynall Off.. NC St. Univ. 
John B. Sauls v. Wake County Health Department 
F^tti G. Newsome v. Transportetion 



88 OSP 0340 Morrison 05/03/93 

90OSP1064** Mann 05/04/93 

90 OSP 1065** Mann 05/04/93 

90 OSP 1066** Mann 05/04/93 

90 OSP 1067** Mann 05/04/93 

90 OSP 1068** Mann 05/04/93 



91 OSP 0011 


Morgan 


10/05/93 


8:15 NCR 1498 


91 OSP 0305 


Chess 


10/19/93 




91 OSP 0344 


Morrison 


05/27/93 




91 OSP 0572 


Chess 


10/12/93 




91 OSP 0625 


West 


03/08/93 


8:1 NCR 75 


91 OSP 0805 


Morgan 


10/06/93 




91 OSP 0860 


Chess 


07/19/93 




91 OSP 0941 


West 


04/02/93 


8:3 NCR 306 


91 OSP 0951 


West 


05/07/93 




91 OSP 1236 


Morgan 


04/05/93 




91 OSP 1344** 


Chess 


05/20/93 




91 OSP 1391 


Morgan 


04/28/93 




92 OSP 0010 


Chess 


05/03/93 




92 OSP 0056 


Gray 


06/07/93 




92 OSP 0090 


Gray 


08/25/93 




92 OSP OISS** 


Chess 


05/20/93 




92 OSP 0285 


Morrison 


03/10/93 




92 OSP 0298*"= 


Reilly 


09/14/93 




92 OSP 0313 


Becton 


04/12/93 


8:4 NCR 382 


92 OSP 0375 


Gray 


04/13/93 




92 OSP 0394 


Becton 


04/20/93 




92 OSP 0396 


Chess 


03/04/93 




92 OSP 0431*" 


West 


03/08/93 




92 OSP 0432*^ 


West 


03/08/93 




92 OSP 0455 


West 


05/26/93 


8:6 NCR 484 


92 OSP 0553 


Morgan 


07/21/93 




92 OSP 0584 


Becton 


08/16/93 




92 OSP 0634 


Morrison 


05/04/93 




92 OSP 0644 


Mann 


10/11/93 




92 OSP 0653 


Morrison 


03/12/93 




92 OSP 0671 


Morgan 


06/08/93 




92 OSP 0684 


Becton 


05/10/93 




92 OSP 0732 


Mann 


04/23/93 




92 OSP 0744*"" 


Morgan 


07/16/93 




92 OSP 0815 


Morgan 


09/16/93 




92 OSP 0847 


Morrison 


08/06/93 




92 OSP 0947 


Morgan 


03/23/93 




92 OSP 0989 


Chess 


06/24/93 




92 OSP 0992 


Reilly 


03/18/93 


8:2 NCR 224 


92 OSP 1047 


Morrison 


05/04/93 




92 OSP 1082 


Morrison 


10/15/93 


8:15 NCR 1500 


92 OSP 1124*"' 


Morgan 


07/16/93 




92 OSP 1142 


Reilly 


03/08/93 


8:1 NCR 88 


92 OSP 1180 


Becton 


09/22/93 


8:14 NCR 1346 



( 



i 



2013 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



CONTESTED CASE DECISIONS 



AGENCY 



Nancy McAllister v. Camden County Department of Social Services 

Gilbert Jaeger v. Wake County Alcoholism Treatment Center 

Joseph Henry Bishop v. Environment, Health. & Natural Res. 

Glenn D. Fuqua v. Rockingham County Boaid of Social Services 

Dorothy D. Johnson v. Correction 

Willie L. Hudson V. Correction 

Brenda K. Campbell v. Emplcyment Security Commission 

Christie L. Guthrie v. Environment, Health, &. Natural Resources 

Sharon Reavis v. Crime Control & Public Safety 

Alphonso Walker v. Human Resources 

James B. Price v. Transportation 

Jerry L. Jones v. N.C.S.U. Physical Plant 

Mattie W. Smith v. State Agricultural and Technical University 

Gina Rence Cox v. UNC Chapel Hill 

Roland W. Holden v. University of North Carolina at Chapel Hill 

Betty Bradsher v. UNC-CH 

Anthony M. Little v. Human Resources, John Umstead Hospital 

Jannie C. Sykes v. Emplcyment Security Commission 

Jamal Al Bakkat-Morris v. Glenn Sexton (DSS) 

Rebecca Beauchesne v. University of North Carolina at Chapel Hill 

Brenda Kay Barnes v. Human Resources 

Larry G. Riddle v. Correction. Division of Prisons 

Stevie E. Dunn v. Polk Youth Center 

Bufoid D. Viercgge Jr. v. N.C. Stale University, University Dining 

Dorothy Ann Harris v. Correction 

Brenda B. Miles v. University of North Carolina Chapel Hill 

Deborah J. Whitfield v. Caswell Center 

Karen Canter v. Appalachian State University 

Terry Steve Brown v. Iredell County Health Department 

Barbara A. Johnson v. Human Resourc-es 

Carrie P Smith v. County of Stanly 

George W. Allen v. Human Resources. Correction, Agri & EHNR 

William G. Fisher v. St Bd of Ed, Albermade City Schools &; Bd of Ed 

Grace Jean Washir^lon v. Caswell Center 

Ralph Snipes v. Transportation and Correction 

Clifton E. Simmons v. Correction 

Willie L- James v. Caswell Center 

Irvii^ S. Rodgers v. C.A. Dillon, Division of Youth Services 

Richard E. Howell v. Correction, Wayne Correctional Center 

Brian Dale Earnhardt v. Stale Highway I^trol 

F.R. "Don" Bowen v. Human Resources 

Michael L. Pegram v. Correction 

Jerry D. Doss Sr v. Correction 

Odessa Parker v. Durham County Depl. of Social Services 

Debbie Renee Robinson v. Correction 

Sharon Brandon v. Dorothea Dix Hospital 

Shaw Boyd v. Correction 

Ida Gaynell Williams v. Wilson County Dept. of Social Services 

Linda R. Wharton v. N.C. A & T University 

Michael L. Pegram v. Correction 

Ralph W. Bureham v. Transportation 

Claudius S. Wilson v. Human Resources 

Edward D. Day Jr.. John D. Warlick, Gary W. Beecham v. Correction 

Edward D. Day Jr., John D. Warlick, Gary W. Beecham v. CoiTection 

Carrie Lee Gardner v. Human Resources 

Alvin Lamonle Brcedon v. OPC Mental Health 

Edvard D. Day Jr., John D. Warlick, Gary W Beecham v. Correction 

Hubert L. Holmes v. Transportation 

Vemell Ellis Turner v. NC A & T Police Dept, NC Agricultural Tech U 

Everette E. Newton v. University of NC at Chapel Hill 

Constance Smith-Rogers v. Human Resources 

Timothy E. Blevins v. UNC A/K/A Western Carolina University 

Xanlippe Blackwill v. Human Resourc-es, Murdoch Center 

Wayne Bradley Johnson v. State Computing Center 

Harold Kovolenko v. Lynn C. Phillips. Director of Prisons 

Daniel Thomas Wheeler. Kye Lee Wheeler v. Caldwell County 

Department of Social Services 
Terry Johnson v. Correction 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


AI4 


DECISION 


REGISTER CITATION 


92 0SP 1185 


Chess 


09/07/93 




92 OSP 1204 


Reilly 


05/10/93 




92 OSP 1243 


Reilly 


03/05/93 




92 OSP 1318 


Morrison 


08/03/93 




92 OSP 1395 


Nesnow 


10/29/93 




92 OSP 1468 


Bee ton 


05/26/93 




92 OSP 1505 


Morrison 


03/17/93 




92 OSP 1555 


Beeton 


05/31/93 




92 OSP 1606 


Morrison 


08/19/93 


8:12 NCR 1163 


92 OSP 1615 


Chess 


12/16/93 




92 OSP 1657 


Mann 


03/19/93 




92 OSP 1661 


Chess 


07/06/93 




92 OSP 1691*'^ 


Reilly 


09/14/93 




92 OSP 1692 


Bee Ion 


10/18/93 




92 OSP 1715 


Beeton 


08/30/93 


8:13 NCR 1292 


92 OSP 1733 


Beeton 


03/30/93 




92 OSP 1734 


Beeton 


09/01/93 




92 OSP 1738 


Gray 


10/25/93 




92 OSP 1741 


Beeton 


03/24/93 




92 OSP 1767 


Beeton 


10/01/93 




92 OSP 1768 


Morrison 


03/17/93 




92 OSP 1774 


Gray 


04/26/93 




92 OSP 1789 


Beeton 


04/19/93 




92 OSP 1796 


Morrison 


05/27/93 




93 OSP 0013 


Morrison 


09/15/93 




93 OSP 0033 


Morrison 


09/10/93 




93 OSP 0064 


West 


09/20/93 




93 OSP 0079 


Reilly 


06/15/93 




93 OSP 0101 


Morgan 


08/06/93 




93 OSP 0103 


Morrison 


03/17/93 




93 OSP 0109 


Beeton 


04/01/93 




93 OSP 01 11 


Reilly 


04/16/93 




93 OSP 0134 


Beeton 


04/20/93 




93 OSP 0153 


Morgan 


06/03/93 




93 OSP 0157 


Mann 


12/13/93 




93 OSP 0159 


Morrison 


04/21/93 




93 OSP 0171 


Morgan 


05/27/93 




93 OSP 0177 


West 


04/21/93 




93 OSP 0245 


Gray 


08/25/93 




93 OSP 0251 


Reilly 


07/27/93 




93 OSP 0253 


Morgan 


08/06/93 




93 OSP 0275** 


Reilly 


06/28/93 




93 OSP 0287 


Gray 


05/17/93 




93 OSP 0366 


Nesnow 


12/15/93 




93 OSP 0383 


Nesnow 


06/07/93 




93 OSP 0419 


Gray 


12/06/93 




93 OSP 0438 


Morgan 


11/12/93 


8:18 NCR 1838 


93 OSP 0440 


Gray 


12/01/93 




93 OSP 0456 


Chess 


09/22/93 




93 OSP 0472** 


Reilly 


06/28/93 




93 OSP 0493 


Chess 


10/15/93 


8:16 NCR 1558 


93 OSP 0498 


Gray 


12/15/93 




93 OSP 0522*" 


Morrison 


12/14/93 


8:19 NCR 1922 


93 OSP 0523*" 


Morrison 


12/14/93 


8:19 NCR 1922 


93 OSP 0537 


Reilly 


12/21/93 




93 OSP 0551 


Gray 


11/23/93 




93 OSP 0567*"^ 


Morrison 


12/14/93 


8:19 NCR 1922 


93 OSP 0572 


Reilly 


08/17/93 




93 OSP 0577 


Beeton 


11/03/93 




93 OSP 0589 


Reilly 


12/07/93 




93 OSP 0593 


Reilly 


12/21/93 




93 OSP 0604 


Morgan 


09/29/93 




93 OSP 0632 


Reilly 


09/01/93 




93 OSP 0694 


Chess 


10/11/93 




93 OSP 0697 


Nesnow 


09/08/93 




93 OSP 0752 


Nesnow 


09/16/93 




93 OSP 0757 


Gray 


10/06/93 





8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



2014 



CONTESTED CASE DECISIONS 



AGENCY 



David Henry v. Corrcclion 

Kathleen E. Conran v. New Bern Police Dept., City of New Bern; and 

City of New Bern Police Civil Service Boaid 
Berlon Hamm Jr. v. Wake County Child & Family Services 
John R. Woods Sr. v. Wake County Child & Family Services 
Coleman F. Tyrance Jr. v. Wake County Child & Family Services 
John Augusta Page v. Wake County Child &, Family Services 
Thomas James v. Wake County Child & Family Services 
James E. Hargrove v. Wake County Child & Family Services 
Ricky Harrell v. Wake County Child &. Family Services 
Bruce Creecy v. Wake County Child &. Family Services 
Dana Phillips v. Administrative Office of the Courts 
William G. Beam v. Transportation 

Mary U. Rote v. Carteret Community Action, Inc. &. Carteret Cly. 
Terry P. Chappell v. Correction 
Willie David Moore v. Correction (Piedmont Correctional Inst.) 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


93 OSP 0789 


Gray 


11/29/93 


93 OSP 0797 


Morrison 


09/21/93 


93 OSP 0809 


Becton 


10/27/93 


93 OSP 0810 


Becton 


11/02/93 


93 OSP 0811 


Becton 


11/02/93 


93 OSP 0812 


Becton 


11/02/93 


93 OSP 0813 


Becton 


11/02/93 


93 OSP 0814 


Becton 


11/02/93 


93 OSP 0815 


Becton 


11/02/93 


93 OSP 0816 


Becton 


11/02/93 


93 OSP 0822 


West 


09/09/93 


93 OSP 0828 


West 


12/29/93 


93 OSP 0831 


Morrison 


12/29/93 


93 OSP 0834 


Nesnow 


10/11/93 


93 OSP 1043 


Nesnow 


12/03/93 



PUBLISHED DECISION 
REGISTER CITATION 



i 



STATE TREASURER 



Juanila M, Braxton v. Bd- of Trustees/Teachers' & St Emp Ret Sys 
Herman D. Brooks v. Bd of Trustees/Teachers' & St Emp Ret Sys 
Henrietta Sandlin v. Teachers" &. State Emp Comp Major Medical Plan 
Frances Billingsley v. Bd/Trustees/Teaoheis' & St. Emp. Ret. S>ys. 
Dennis WiUoughby v. Bd./Tnislees/Teacheis' &. St. Emp. Ret. Sys. 
Mary Alyce Carmichael v. Bd/Trustecs/Teachers' & St Emp Ret Sys 
Shirley M. Smith v. Bd. /Trustees/Teachers' &. St. Emp. Ret. Sys. 
W, Rex Perry v. Bd/Trustees/Teacheis' & St Emp Ret Sys 
Rory Dale Swiggett v. Bd./Trustees/N.C. Local Govll. Emp. Ret. Sys. 
Catherine D. Whitji^ v. Bd./Trustee.s/Teacheis &. St. Emp. Ret. Sys. 



91 DST0017 


West 


09/07/93 




91 DST0566 


Gray 


04/13/93 




92 DST 0305 


Morgan 


04/12/93 




92 DST 0996 


West 


09/20/93 




92 DST 1439 


West 


09/20/93 


8:14 NCR 1356 


92 DST 1506 


Chess 


04/08/93 




92 DST 1776 


Reilly 


11/18/93 


8:18 NCR 1829 


93 DST 0133 


West 


08/12/93 


8:11 NCR 992 


93 DST 0198 


West 


09/28/93 


8:14 NCR 1360 


93 DST 0727 


Reilly 


11/18/93 





TRANSPORTATION 

Yates Construction Co. , Inc. v. Transportation 

American S&P Auto v. Commissioner, Div. of Motor Vehicles 

William G. Oglesty v. Division of Motor Vehicles 



92 DOT 1800 


Morgan 


03/25/93 


93 DOT 1070 


Morrison 


12/02/93 


93 DOT 1375 


Morrison 


12/29/93 



{ 



UNIVERSITY OF NORTH CAROLINA HOSPITALS 



Constance V. Graham v. UNC Hospital 
Jacqueline Florence v. UNC Hospitals 



93 UNC 0269 
93 UNC 0355 



Morgan 
Becton 



07/20/93 
06/16/93 



{ 



2015 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 
COUNTY OF WAKE 



IN THE OFFICE OF 

ADMINISTRATrVE HEARINGS 

93 CPS 0652 



MARK A. McCRIMMON, 
Petitioner, 



CRIME VICTIMS COMPENSATION 
COMMISSION, 

Respondent. 



RECOMMENDED DECISION 



This matter was heard before Brenda B. Becton, Administrative Law Judge, on November 4, 1993, 
in Carthage, North Carolina. 

The Petitioner filed a Petition for a Contested Case Hearing with the Oflice of Administrative 
Hearings on June 23, 1993. The Petitioner later filed a Prehearing Statement in which he alleged that the 
Respondent actions in denying him compensation were improper in that the Petitioner could not have possibly 
foreseen that the proprietor of a convenience store would utilize deadly force to prevent him from fleeing from 
the scene of the theft. The undersigned agrees that the use of deadly force was unforeseeable. Therefore, 
the Petitioner's misconduct was not a proximate cause of his injury and he is entitled to receive compensation 
from the Crime Victims Compensation Fund. 

APPEARANCES 

Petitioner: CUNNINGHAM, DEDMOND, PETERSEN & SMITH, Attorneys at Law, Southern 

Pines, North Carolina; Bruce T. Cunningham, Jr. appearing. 

Respondent: Robert T. Hargett, Associate Attorney General, North Carolina Department of 
Justice, Raleigh, North Carolina. 

ISSUE 

Did the Commission properly deny the Petitioner's claim based on the Petitioner's contributory 
misconduct? 

STATUTES AND RULES AT ISSUE 

N.C. Gen. Stat. §15B- 11(b) 
STIPULATIONS 

1. It is stipulated that in lieu of the testimony of Frederick Eugene Sineath, Mark A. 
McCrimmon, Charlie Lemmonds, and Wesley White, the parties stipulate to the admission into evidence of 
the transcript of the probable cause hearing in the case of State of North Carolina v, Frederick Eugene Sineath 
taken at 11:25 a.m., Thursday, 28 May 1992, and the depositions of Mark A. McCrimmon and Frederick 
Eugene Sineath taken 24 September 1993. 

2. It is stipulated that all parties have been correctly designated. It is further stipulated that there 
is no question as to misjoinder or nonjoinder of parties. 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



2016 



COXTESTED CASE DECISIONS 



EXHIBITS 

The following exhibits offered by the Respondent, were received in evidence: 

Rl. Transcript of probable cause hearing taken on 28 May 1992. 

R2. Deposition transcript of Mark Anthony McCrimmon taken on September 24, 1993. 

R3. Deposition transcript of Frederick Eugene Sineath taken on September 24, 1993. 

R4. Plaintiffs Answers to Defendant's First Set of Interrogatories, Request for Admissions, and Request 
for Production of Documents. 

Based upon the official documents in the file, sworn testimony of the witnesses, and other competent 
and admissible evidence, the undersigned makes the following: 

FINDLNGS OF FACT 

Stipulated Facts 

1. The Petitioner filed a timely Application for Compensation with the North Carolina Crime Victims 
Compensation Commission on 12 December 1992. 

2. The Petitioner's claim was subsequently denied by the Respondent based upon a theory of 
contributory misconduct, and the Petitioner filed a timely Petition for a Contested Case Hearing with 
the Office of Administrative Hearings on or about 22 June 1993. 

Adjudicated Facts 

3. On March 20, 1992, the Petitioner was in a convenience store, the Hilicrest Trading Post, and was 
intoxicated. 

4. The Petitioner took $20.00 bill from another customer's hand. 

5. The Petitioner had a drink bottle in his left hand and used his right hand to pull open the exit door. 

6. The exit door opens to the inside and swings toward the right. 

7. The proprietor of the convenience store, Frederick A. Sineath ordered the Petitioner to stop and then 
shot the Petitioner in the back as he was opening the exit door 

8. The Petitioner fell in the doorway. 

9. Mr. Sineath called 91 1 and the Petitioner was transported to a hospital for treatment. 

10. As a result of his being shot, the Petitioner is paralyzed. 

11. Mr. Sineath has been charged with assault in Moore County Superior Court. 

Based on the foregoing Findings of Fact, the undersigned Administrative Law Judge makes the 
following: 

CONCLUSIONS OF LAW 

1. Mr. Sineath's use of deadly force to prevent the Petitioner's flight from the premises was criminally 

2017 8:20 NORTH CAROLINA REGISTER January 14, 1994 



CONTESTED CASE DECISIONS 



injurious conduct. 

2. The Petitioner's snatching of the twenty dollars and attempting to exit the store with the money and 
not paying for the bottle of soda was unlawful and, therefore, misconduct of the type that could bar 
an award from the Crime Victim's Compensation Fund. 

3. The North Carolina Crime Victims Compensation Act provides that "[a] claim may be denied and an 
award of compensation may be reduced upon a finding of contributory misconduct by the claimant 
. . . ." N.C. Gen. Stat. §15B-ll(b) (1987). The question of what constitutes "contributory 
misconduct" was addressed by the North Carolina Court of Appeals in Evans v^ N.C. Department 
of Crime Control and Public Safety . 101 N.C. App. 108, 398 S.E.2d 880 (1990). The Court of 
Appeals held that "[c]onsistent with principles of tort law, in order for claimant's misconduct to be 
contributory it must combine with criminal action on the part of another to become a 'real efficient 
and proximate cause of the injury.'" (Citation omitted). 

4. The North Carolina Supreme Court has defined proximate cause as: 

a cause which in natural and continuous sequence, unbroken by any new and 
independent cause, produced the plaintifl^s injuries, and without which the 
injuries would not have occurred, and one from which a person of ordinary 
prudence could have reasonably foreseen that such a result, or consequences 
of a generally injurious nature, was probable under all the facts as they 
existed. 

Hairston v, Alexander Tank & Equipment Co. , 310 N.C. 227, 33, 311 S.E.2d 559, 565 (1984) 
(emphasis added). 

5. The issue revolving around foreseeability in this case is best summarized by the parties different 
phrasing of the issue: Petitioner contends that the issue is "Was the action of Mr. Sineath a 
reasonably foreseeable result of Mr. McCrimmon's conduct?"; Respondent contends the issue is "Was 
it reasonably foreseeable to the petitioner that his misconduct could result in some injury?" 

6. In order for the Petitioner's misconduct to be contributory, it must combine with criminal action by 
Mr. Sineath to become a "real, efficient and proximate cause of the injury." Evans v^ N.C. 
Department of Crime Control and Public Safety , 101 N.C. App. 108, 398 S.E.2d 880 (1990); Crouse 
v. Woodruff^ , 48 N.C. App. 712, 721, 269 S.E.2d 706,708 (1980). 

7. The Court in Evans held, quoting from Adams v. Mills , 312 N.C. 181, 193, 322 S.E.2d 164, 172 
(1984), "The test of foreseeability as an element of proximate cause does not require that the actor 
should have been able to foresee the injury in the precise manner in which it actually occurred." 
Neither is it necessary for the Petitioner to foresee the events which are merely possible, but only 
those which are reasonably foreseeable. Id. 

8. Foreseeability is that which a person of ordinary prudence would reasonably have foreseen as the 
probable consequence of his actions. Bogle v^ Duke Power Co. , 27 N.C. App. 318, 219 S.E.2d 308, 
cert. den. 289 N.C. 296, 222 S.E.2d 695 (1967). 

9. General principles of tort law state that a person is not entitled to use deadly force to defend personal 
property. Thus, neither Mr. Sineath nor the patron were entitled to shoot the Petitioner and it is not 
reasonable to hold the Petitioner responsible for being able to foresee that others than himself would 
also act in a manner that is beyond what the law allows. 

10. It was not reasonably foreseeable that Mr. Sineath would use deadly force to prevent the Petitioner 
from fleeing his premises with the patron's twenty dollars and the bottle of soda. Even though it is 
not necessary that the Petitioner have foreseen the exact nature of the harm that might befall him, it 



8:20 NORTH CAROLINA REGISTER January 14, 1994 2018 



CONTESTED CASE DECISIONS 



is necessary that he or any reasonable person in his position have been able to foresee a category of 
harm. It was foreseeable that either the patron or the store keeper might have given chase, called the 
police, or made some effort to prevent the Petitioner's flight. What was not reasonably foreseeable 
was that deadly force which was beyond what the law would have allowed would have been utilized 
to prevent the Petitioner from escaping. 

1 1 . Since Mr. Sineath's actions were not foreseeable, the Petitioner's misconduct was not a proximate 

cause of the injury he sustained and pursuant to the provisions of the Victims Compensation Act and 
Evans , supra, the Commission cannot use the Petitioner's misconduct as a basis for denying or 
reducing the Petitioner's claim. 

RECOMMENDED DECISION 

The North Carolina Crime Victims Compensation Commission will make the Final Decision in this 
contested case. It is recommended that the Commission adopt the Findings of Fact and Conclusions of Law 
set forth above and allow the Petitioner's claim. 

DISCUSSION 

Although the Victims Compensation Act is primarily intended to provide some compensation to 
innocent victims of crime, it nevertheless provides that compensation should only be denied to an individual 
whose misconduct is a proximate cause of the injury sustained. Thus, the legislature apparently contemplated 
that there would be some instances where a person guilty of misconduct would, nevertheless, be entitled to 
compensation as a victim. While the Petitioner because of his own wrong doing is not a very sympathetic 
victim, application of the basic principles of tort law to the facts as the Victims Compensation Act directs one 
to do, leads to the conclusion that his own misdeed does not bar recovery in this instance. 

ORDER 

It is hereby ordered that the agency serve a copy of the Final Decision on the Oflice of Administrative 
Hearings, P.O. Drawer 27447, Raleigh, N.C. 27611-7447, in accordance with North Carolina General 
Statutes section 150B-36(b). 

NOTICE 

Before the Commission makes the FINAL DECISION, it is required by North Carolina General Statutes 
section 150B-36(a) to give each party an opportunity to file exceptions to this RECOMMENDED DECISION, 
and to present written arguments to those in the agency who will make the final decision. 

The agency is required by North Carolina General Statutes section 150B-36(b)to serve a copy of the 
Final Decision on all parties and to furnish a copy to the Parties' attorney of record. 



This the 20th day of December, 1993. 



Brenda B. Becton 
Administrative Law Judge 



2019 8:20 NORTH CAROLINA REGISTER January 14, 1994 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 



COUNTY OF EDGECOMBE 



IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 

93 DOJ 1003 



LEVON BRASWELL, 
Petitioner, 



NORTH CAROLINA PRIVATE PROTECTIVE 
SERVICES BOARD, 
Respondent. 



PROPOSAL FOR DECISION 



The above-entitled matter was heard before Fred G. Morrison Jr. , Senior Administrative Law Judge, 
on December 28, 1993, in Raleigh, North Carolina. 

APPEARANCES 

The Petitioner appeared pro se. The Respondent was represented by Attorney Charles F. McDarris. 

ISSUE 

Was the North Carolina Private Protective Services Board (hereinafter Board) correct in denying the 
application of Petitioner for unarmed guard registration for lack of good moral character? 

STATUTES AND RULES IN ISSUE 

G.S. 74C-1 et seq. 
12 NCAC 7D .0701 et seq. 

FINDINGS OF FACT 

1. Petitioner's application for unarmed guard registration has been denied by the Board because 
investigation revealed that he was convicted on April 24, 1985. for assault with a deadly weapon 
inflicting serious injury. TTiis conviction was the result of a spat with his wife's grandmother. He 
served several months in prison before being paroled from which he was satisfactorily discharged. 
He has been rehabilitated. 

2. Petitioner served in the armed services and was given an honorable discharge. He attends church 
regularly and has a good reputation among associates. 

CONCLUSIONS OF LAW 

12 NCAC 7D .0703(3) requires that an applicant for registration be of good moral character. That 
rule also provides that a conviction within the last five years of a crime involving violence shall be prima facie 
evidence of a lack of good moral character. Petitioner's conviction was more than five years ago. Based on 
this evidence, it is concluded that Petitioner does not lack good moral character. 

Based upon the foregoing Conclusions of Law, the undersigned makes the following: 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



2020 



CONTESTED CASE DECISIONS 



PROPOSAL 

That the denial of Petitioner's application for unarmed guard registration be reversed. fl 

NOTICE 

All parties to this action have the right to file exceptions and proposed finding of fact and to present 
oral and written arguments to the Private Protective Services Board before it reaches a final decision. Any 
party desiring to exercise this right should contact the Board promptly. 

This the 29th of December, 1993. 



Fred G. Morrison Jr. 

Senior Administrative Law Judge 



{ 



i 



2021 8:20 NORTH CAROLINA REGISTER January 14, 1994 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 
COUNTY OF CRAVEN 



IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 

93 EDC 1143 



VIRGINIA WILLOUGHBY, 
Petitioner, 



CRAVEN COUNTY BOARD OF EDUCATION, 
Respondent. 



FINAL DECISION 



For Petitioner: 



Tliis contested case was heard in the Craven County Courthouse, New Bern, North Carolina, on 
December 3, 1993, before Julian Mann, III, Chief Administrative Law Judge. By stipulation, all pending 
prehearing motions were merged into the determination of the contested case hearing. 



APPEARANCES 

Jack Hansel 

Attorney at Law 

Pamlico Sound Legal Services 

P. O. Box 7283 

Greenville, North Carolina 27835 

Attorney for Petitioner 

David S. Henderson 

Henderson, Baxter & Alford, P. A. 

P O. Drawer U 

New Bern, North Carolina 28563 

Attorney for Respondent 

HTTNESSES 

Virginia Willoughby, Petitioner 
None 

EXHIBITS 



For Respondent: 



For Petitioner: 
For Respondent: 



For Petitioner: Petitioner's Exhibits #1, #2, #3, #4, #5, #6, and #7 

For Respondent: Respondent's Exhibits #1, #2, #3, #4, and #5 

ISSLTES 

1. Whether Petitioner has standing to maintain this action. 

2. Whether the Craven County Board of Education is obligated to provide Danyun Walker with 
a free and appropriate education through an appropriate individualized education plan pursuant to State and 
federal law. 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



2022 



CONTESTED CASE DECISIONS 



3. Whether the Craven County Board of Education is obligated to temporarily enroll Danyun 
Walker in its school system and provide him with a free and appropriate education during the pendency of 
proceedings to resolve the issue of his ultimate entitlement to the Respondent's educational services. 

4. Whether Danyun Walker currently is a resident or a domiciliary of Craven County, North 
Carolina. 

STIPULATIONS 

The Stipulations are contained in the Prehearing Order filed with the Administrative Law Judge 
immediately prior to the contested case hearing on December 3, 1993. On the record, the parties stipulated, 
without objection, that the time for filing the Final Decision was extended up to and including Friday, 
December 17, 1993. 

Based upon the Stipulations and the greater weight of the admissible evidence, the undersigned makes 
the following: 

FINDINGS OF FACT 

1. The Office of Administrative Hearings has jurisdiction over the parties and the subject matter 
of this contested case pursuant to Chapters 115C and 150B of the North Carolina General Statutes and the 
Individuals With Disabilities Education Act (IDEA), 20 U.S.C. Section 1400 et seg. 

2. Virginia Willoughby is a citizen and resident of Vanceboro, Craven County, North Carolina, 
and her grandson, Danyun Walker has been living in her home with her and her husband. Otto Willoughby, 
since June, 1993. 

3. Danyun Walker is 16 years of age and as of April 1993 was receiving special education 
services in the Duval County, Florida public schools in a program for the profoundly mentally handicapped. 
Danyun is non-verbal and has been evaluated as profoundly mentally handicapped. (Petitioner's Exhibit #4) 

4. In August, 1993, the Petitioner attempted to enroll Danyun Walker in the Craven County 
Public Schools for the current school year, after Danyun came to Craven County to live with Petitioner and 
her husband. (Respondent's Exhibits #2 and #3; Prehearing Stipulation #3c) 

5. The Respondent, through its employees and agents, refused to enroll Danyun in its schools 
except on condition that Mrs. Willoughby pursue legal guardianship or court ordered custody of Danyun. 
(Respondent's Exhibit #1) 

6. Danyun Walker is not being provided with educational services by the Respondent Board of 
Education. (Prehearing Stipulation #3d) 

7. Respondent Craven County Board of Education is a local educational agency receiving monies 
pursuant to the federal Individuals With Disabilities Education Act, 20 U.S.C. Section 14(X) et seq . 
(Prehearing Stipulation #3e) 

8. Respondent is the agency responsible for providing special education services in the Craven 
County Schools pursuant to the North Carolina Special Education Act, G.S. 115, Article 9 (hereinafter 
referred to as the "State Act"). (Prehearing Stipulation #3e) 

9. Danyun Walker's parents are not domiciliaries of Craven County nor the State of North 
Carolina, nor do they reside in the State of North Carolina. 

10. Based on the uncontroverted and credible testimony of Petitioner, Virginia Willoughby, 
Danyun Walker is living with Petitioner with the consent of Danyun's mother, Queenie Walker, and Queenie 



2023 8:20 NORTH CAROLINA REGISTER January 14, 1994 



CONTESTED CASE DECISIONS 



Walker wishes for Danyun to receive a free and appropriate education from the Respondent Board of 
Education. 

11. Based on the un controverted and credible testimony of Petitioner Virginia Willoughby, 
Danyun Walker is not living in Craven County merely for the purpose of attending school there but is living 
with Mrs. Willoughby because Petitioner and Danyun's mother believe Mrs. Willoughby to be better able to 
provide for Danyun's needs in general. It is Danyun's mother's intention that Danyun remain with Petitioner 
indefinitely. Danyun's mother is not presently as capable of caring for her son in Florida because of the 
absence of her husband from the home and pending graduation of Danyun's 17 year old brother. 

12. Based on the uncontroverted and credible testimony of Petitioner Virginia Willoughby, she 
is providing for the daily needs of Danyun Walker, including feeding him, clothing him, and assisting with 
his activities of daily living and she is acting as a parent for him. 

13. Petitioner is now acting as parent for Danyun. 

Based upon the foregoing Stipulations and Findings of Fact, the undersigned makes the following: 

CONCLUSIONS OF LAW 

1 . The Office of Administrative Hearing has jurisdiction over the person and subject matter of 
this contested case pursuant to Chapters 115C and 150B of the North Carolina General Statutes and the 
Individuals With Disabilities Act (IDEA), 20 U.S.C. Section 1400 et seq. 

2. Danyun Walker is a child with a disability or disabilities for purposes of IDEA and is a child 
with special needs pursuant to the State Act. 

3. IDEA provides for procedural safeguards including the right to an impartial due process 
hearing for the parents or guardian of a child with a disability. The implementing regulations for IDEA at 
34 CFR 300.13 define "parent" for purposes of proceedings under that law to include: "a person acting as 
a parent." Therefore, Petitioner has standing to maintain this action pursuant to IDEA and its implementing 
regulations. 

4. The State Act provides at G.S. 115C-116 for the right of review of proposed decisions 
regarding the educational needs of a child with special needs and it provides this right to the "parent, 
guardian, or surrogate parent of the child. The State Procedures Governing Programs and Services for 
Children with Special Needs at Section .1501(G), defines the word "parent" to include "a person acting as 
a parent of a child." Therefore, Petitioner has standing to maintain this action pursuant to the State Act and 
regulations. 

5. Pursuant to the Rehabilitation Act of 1973 as amended, 29 U.S.C. A. 794 (hereinafter. Section 
504), Danyun Walker has a right not to be discriminated against because of handicap or disability in public 
education programs receiving federal financial assistance. 

6. The State Act at G.S. 115C-110(i) provides "[e]ach local educational agency shall provide 
free and appropriate special education and related services ... for all children with special needs who are 
residents of, or whose parents or guardians are residents of, the agency's district..." It is clear from a reading 
of this section and related statutory provisions, that it does not impose an obligation that a child with special 
needs be "domiciled" in the local educational agency's district to be entitled to a free appropriate special 
education and related services. The Act only requires that the child be a resident of the district. 

7. IDEA at 20 U.S.C. A. Section 1414(a)(1) requires local educational agencies to provide 
assurances that all children with disabilities, "residing within the jurisdiction of the local educational agency 
are identified, located, and evaluated" etc., and further at Section 1414(a)(5) requires assurances by local 
educational agencies to establish an individualized education program for each child with a disability. 



8:20 NORTH CAROLINA REGISTER January 14, 1994 2024 



CONTESTED CASE DECISIONS 



8. The implementing regulations for Section 504 at 34 C.F.R. 104.33(a) provide: 

"[a] recipient that operates a public elementary or secondary education program shall 
provide a free appropriate public education to each qualified handicapped person who is in 
the recipient's jurisdiction, regardless of the nature of severity of the person's handicap." 

The official comments following this regulation at page 430 and 431 of the 1992 version of the CFR 
state in part: 

"Under Sec. 104.33(a), a recipient is responsible for providing a free appropriate 
public education to each qualified handicapped person who is in the recipient's jurisdiction. 
The word "in" encompasses the concepts of both domicile and actual residence " 

9. Under North Carolina case decisions, the term residence is generally taken to mean one's 
place of actual abode, whether temporary or permanent as opposed to "domicile" which denotes one's 
permanent, established home. Although a child's domicile may be at the home of his parent, he may also 
have a residence elsewhere. 

10. Danyun Walker is a resident of Craven County, North Carolina, for purposes of this 
proceeding since his present actual place of abode is located there and the Petitioner and Danyun's mother 
intend that he reside in Craven County indefinitely. It is not necessary to determine whether or not he is a 
domiciliary of Craven County, North Carolina for purposes of this proceeding. 

1 1 . Since Danyun Walker is a resident of Craven County, North Carolina, the Respondent Board 
of Education is obligated to provide Danyun Walker with a free and appropriate education and related services 
through an appropriate individualized education plan pursuant to Chapter 1 15C of the North Carolina General 
Statutes, IDEA, and Section 504. 

12. IDEA at 20 U.S.C.A. Section 1415(e)(3) provides that during the pendency of proceedings 
such as these relating to the educational rights of a child with disability "if applying for initial admission to 
a public school" the child "shall, with the consent of the parents or guardian, be placed in the public school 
program until all such proceedings have been completed." The North Carolina Procedures Governing 
Programs and Services for Children with Special Needs also require at .1517 that in proceedings such as this 
"[i]f the complaint involves an application for initial admission to public school, the child, with the consent 
of the parents, must be placed in a public school until the completion of all the proceedings." 

13. Appendix C to Part 300 of Title 34 of the Code of Federal Regulations provides some 
interpretation of the regulations implementing IDEA. There at page 76 of the CFR revised as of July 1, 1993, 
in answer to the question "5. For a child with a disability receiving special education for the first time, when 
must an lEP be developed — before placement or after placement," it says in part, 

...the lEP must be developed before placement.. The above requirement does not 
preclude temporarily placing an eligible child with a disability in a program as part of the 
evaluation process -- before the lEP is finalized -- to aid in determining the most appropriate 
placement for the child. It is essential that the temporary placement not become the final 
placement before the lEP is finalized. In order to ensure that this does not happen, the State 
might consider requiring LEAs to take the following actions: 

a. Develop an interim lEP for the child that sets out the 
specific conditions and timelines for the trial placement... 

b. Ensure that the parents agree to the interim placement 
before it is carried out, and that they are involved throughout the process of 
developing, reviewing, and revising the child's lEP. 



2025 8:20 NORTH CAROLINA REGISTER January 14, 1994 



CONTESTED CASE DECISIONS 



c. Set a specific timeline (E.G. 30 days) for completing the 
evaluation and making judgments about the most appropriate placement for 
the child. 

d. Conduct an lEP meeting at the end of the trial period in 
order to finalize the child's lEP. . . . 

14. Consent for Danyun's admission to Respondent's public school system has been given by both 

Petitioner and Danyun's mother. Danyun Walker is therefore entitled to immediate placement in the public 
school program of the Respondent whether or not the Final Decision herein is appealed for further review. 

Based upon the foregoing Findings of Fact and Conclusions of Law, the undersigned makes the 
following: 

FINAL DECISION 

1. Respondent is charged with the statutory duty to provide Danyun Walker with a free 
appropriate public education and related services pursuant to an individual education program. 

2. Respondent Board of Education is obligated to immediately place Danyun Walker in its public 
school program and provide him with an appropriate temporary educational program as is reasonable during 
the pendency of any further appeal or review of this decision, or during any needed evaluation of Danyun for 
the purpose of development of his individual education program. Respondent Board of Education should be 
guided in its development of an interim lEP for Danyun Walker by the interpretation found in Appendix C 
to Part 300 of title 34 of the Code of Federal Regulations, as found in Conclusion of Law #13. 

3. This cause is retained for further orders as may be necessary. 

NOTICE 

In order to appeal this Decision, the person seeking review must file a written notice of appeal with 
the North Carolina Superintendent of Public Instruction. The written notice of appeal must be filed within 
thirty (30) days after the person is served with a copy of this Decision. G.S. 115C-116(li) and (i). 

This the 17th day of December, 1993. 



Julian Mann, III 

Chief Administrative Law Judge 



8:20 NORTH CAROLINA REGISTER January 14, 1994 2026 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



1 he North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two of these, 
titles and chapters, are mandatory'. The major subdivision of the NCAC is the title. Each major 
department in the North Carolina executive branch of government has been assigned a title number 
Titles are fiirther broken dov,^ into chapters which shall be numerical in order. The other two, 
subchapters and sections are optional subdivisions to be used by agencies when appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT LICENSING BOARDS CHAPTER 



1 


Administration 


Acupuncture 


1 


2 


Agriculture 


Architecture 


2 


3 


Auditor 


Auctioneers 


4 


4 


Commerce 


Barber Examiners 


6 


5 


Correction 


Certified Public Accountant Exammers 


8 


6 


Council of State 


Chiropractic Exammers 


10 


7 


Cultural Resources 


General Contractors 


12 


8 


Elections 


Cosmetic Art Examiners 


14 


9 


Governor 


Dental Examiners 


16 


10 


Human Resources 


Dietetics/Nutrition 


17 


11 


Insurance 


Electrical Contractors 


18 


12 


Justice 


Electrolysis 


19 


13 


Labor 


Foresters 


20 


14A 


Cnme Control & Public Safety 


Geologists 


21 


15A 


Environment, Health, and Natural 


Hearing Aid Dealers and Fitters 


22 




Resources 


Landscape Architects 


26 


16 


Public Education 


Landscape Contractors 


28 


17 


Revenue 


Mantal and Family Therapy 


31 


18 


Secretary of State 


Medical Exammers 


32 


19A 


Transportation 


Midwifery Joint Committee 


33 


20 


Treasurer 


Mortuary Science 


34 


*21 


Occupational Licensing Boards 


Nursing 


36 


22 


Administrative Procedures 


Nursing Home Administrators 


37 


23 


Community Colleges 


Occupational Therapists 


38 


24 


Independent Agencies 


Opticians 


40 


25 


State Personnel 


Optometry 


42 


26 


Administrative Hearings 


Osteopathic Examination & Reg. (Repealed) 


44 






Pharmacy 


46 






Physical Therapy Examiners 


48 






Plumbing, Heating & Fire Sprinkler Contractors 


50 






Podiatry Examiners 


52 






Practicing Counselors 


53 






Practicing Psychologists 


54 






Professional Engineers & Land Surveyors 


56 






Real Estate Appraisal Board 


57 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work Certification 


63 






Speech & Language Pathologists & Audiologists 


64 






Therapeutic Recreation Certification 


65 






Veterinary' Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



2027 



8:20 



NORTH CAROLINA REGISTER 



January 14, 1994 



CUMULATIVE INDEX 



CUMULATIVE INDEX 

(April 1993 - March 1994) 

Pages Issue 

1 - 92 1 - April 

93 - 228 2 - April 

229 - 331 3 - May 

332 - 400 4 - May 

401 - 455 5 - June 

456 - 502 6 - June 

503 - 640 7 - July 

641 - 708 8 - July 

709 - 792 9 - August 

793 - 875 10 - August 

876 - 1006 11 - September 

1007 - 1184 12 - September 

1185 - 1307 13 - October 

1308 - 1367 14 - October 

1368 - 1512 15 - November 

1513 - 1568 16 - November 

1569 - 1719 17 - December 

1720 - 1849 18 - December 

1850 - 1941 19 - January 

1942 - 2031 20 - January 



Unless otherwise identified, page references in this Index are to proposed rules. 



ADMINISTRATION 

Administration's Minimum Criteria, 5 

Auxiliary Services, 1724 

Low-Level Radioactive Waste Management Authority, 232 

State Employees Combined Campaign, 1008 

ADMINISTRATIVE HEARINGS 

Civil Rights Division, 370 
General, 366 
Hearings Division, 1480 
Rules Division, 367 

AGRICULTURE 

Aquaculture, 1212 
N.C. State Fair, 506 
Plant Industry, 513, 1212 
Standards Division, 1212 
Veterinary Division, 515, 1212 

COMMERCE 

Alcoholic Beverage Control Commission, 408, 711, 1310 
Banking Commission, 408, 798, 1312 
Cemetery Commission, 810 
Credit Union Division, 1724 



8:20 NORTH CAROLINA REGISTER January 14, 1994 2028 



CUMULATIVE INDEX 



Savings Institutions Division: Savings Institutions Commission, 461 
State Ports Authority, 811, 1570 

COMMUNITV' COLLEGES 

Community Colleges, 1527 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Management, 279, 571, 962, 1405, 1862 

Comprehensive Conservation and Management Plan, 882 

Departmental Rules, 465 

Environmental Management, 210, 556, 658, 797, 893, 1254, 1748, 1858 

Health Services, 283, 335, 425, 465, 572, 709, 762, 966, 1098, 1417, 1663, 1782, 1850 

Marine Fisheries, 28, 568, 1573 

Mining: Mineral Resources, 829 

NPDES Permit. 710 

Radiation Protection, 1662 

Soil and Water Conservation Commission, 214, 1322 

Vital Records, 1525 

Wildlife Resources Commission, 32, 663, 831, 965, 1255, 1409, 1613, 1723, 1773, 1957 

Wildlife Resources Commission Proclamation, 1851 

Zoological Park, 337 

FINAL DECISION LETTERS 

Voting Rights Act, 4. 407, 460, 795, 880, 1371, 1514, 1569, 1722, 1942 

GENERAL STATUTES 

Chapter 7 A, 1185 
Chapter 150B, 1187 

GO\TRNOR/LT. GOVERNOR 

Executive Orders, 1, 93, 229, 332, 401, 456, 641, 793, 876, 1007, 1209, 1308, 1368, 1513, 1720 

HUIVL^N RESOURCES 

Aging, Division of, 815, 1372 

Blind, Services for the, 884 

Deaf and Hard of Hearing, Services for the, 650 

Facility Services, 94, 883, 1014. 1215, 1312, 1519, 1725 

Medical Assistance, 25, 414, 553, 712, 888, 1316, 1742, 1943 

Medical Care Commission, 644, 1312 

Mental Health, Developmental Disabilities and Substance Abuse Services, 7, 413, 516, 1086, 1217, 

1852 

Social Services Commission, 237, 733, 1091, 1376, 1743 

INSLHANCE 

Actuarial Services. 555, 657, 1249, 1321, 1403 
Agent Services Division, 1399 
Engineering and Building Codes Division, 1248 
Financial Evaluation Division, 1093, 1317, 1946 
Life and Health Division, 1094, 1318, 1400, 1956 
Medical Database Commission, 463, 737, 1956 
Property and Casualty Division, 1400 
Special Services Division, 1096 



i 



2029 8:20 NORTH CAROLINA REGISTER January 14, 1994 



CUMULATIVE INDEX 



JUSTICE 

Alarm Systems Licensing Board, 761 

Attorney General, Office of the, 28 

Criminal Justice Education and Training Standards Commission, 253 

Criminal Justice Standards Division, 241 

Departmental Rules, 1096 

Private Protective Services Board, 252, 890 

Sheriffs' Education and Training Standards Commission, 738 

LABOR 

OSHA, 97, 231, 278, 892, 1523, 1744 

LICENSEVG BOARDS 

Architecture, 43 

Certified Public Accountant Examiners, 1418 

Chiropractic Examiners, 1806 

Cosmetic Art Examiners, 969, 1526 

Dental Examiners, State Board of, 763, 1960 

Electrolysis Examiners, Board of, 841, 1457 

Foresters, Registration for, 674 

Geologists, Board of, 285 

Landscape Architects, 1256 

Medical Examiners, Board of, 591, 1458, 1685, 1965 

Mortuary Science, Board of, 45, 342, 971, 1461 

Nursing, Board of, 1463 

Nursing Home Administrators, 346 

Occupational TTierapy, 1469 

Opticians, Board of, 1261 

Pharmacy, Board of, 47, 354, 1326 

Physical Therapy Examiners, 53, 767 

Plumbing, Heating and Fire Sprinkler Contractors, 360 

Practicing Psychologists, Board of, 844, 1807, 1880 

Real Estate Appraisal Board, 1976 

Real Estate Commission, 53, 364, 1996 

Refrigeration Examiners, 1148, 1526 

Social Work, Certification Board for, 428, 1808 

TTierapeutic Recreation Certification Board. 1328 

LIST OF RULES CODIFIED 

List of Rules Codified, 61, 290, 432, 593, 769, 845, 1264, 1535, 1687, 1881 

PUBLIC EDUCATION 

Elementary and Secondary Education, 427, 470, 1873 

SECRETARY OF STATE 

Land Records Management Division, 1792 

STATE PERSONNEL 

Office of State Personnel, 286, 972, 1262, 1472 

STATE TREASURER 

Local Government Commission, 1795 
Retirement Systems, 337, 1146 



8:20 NORTH CAROLINA REGISTER January 14, 1994 2030 



CUMULATIVE INDEX 



TAX REVIEW BOARD 

Orders of Tax Review, 503, 1516 

TRANSPORTATION 

Highways, Division of, 669, 836 
Motor Vehicles, Division of, 1145, 1875 



i 



2031 8:20 NORTH CAROLINA REGISTER January 14, 1994 



NORTH CAROLINA ADMINISTRATIVE CODE 



The full publication consists of 53 volumes, totaling in excess of 15,000 pages. It is supplemented monthly 
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Wildlife 


$750.00 




1 


90.00 




2 


75.00 




3 


75.00 




4 


10.00 




5 


45.00 




6 


90.00 




7 


60.00 




8 


30.00 




9 


60.00 




10 


10.00 




11 


45.00 




12 


30.00 




13 


90.00 




14 


45.00 




15 


30.00 




16 


30.00 




17 


30.00 




18 


30.00 




19 


30.00 




20 


60.00 




21 


45.00 




22 


75.00 




23 


90.00 




24 


30.00 




25 


60.00 




26 


45.00 




27 


90.00 




28 


90.00 




29 


90.00 




30 


30.00 




31 


45.00 




32 


45.00 




33 


45.00 




34 


90.00 




35 


45.00 




36 


45.00 




37 


30.00 




38 


45.00 




REVISED C 




Continued 



Volume 


Title 


Chapter 


New 
Subject Subscription* 


Quantity 


Total 
Price 


39 


15A 
15A 

16 

17 

17 

18 

19A 

20 

21 

21 

21 

22 

23 

24 

25 

26 


11-18 EHNR 90.00 
19-26 EHNR 

(includes Breathalizer) 75.00 
1 - 6 Education 30.00 
1 - 6 Revenue 75.00 
7-11 Revenue 60.00 
1 - 8 Secretary' of State 30.00 
1 - 6 Transportation 90.00 
1 - 9 Treasurer 45.00 
1-16 Licensing Boards 75.00 
17-37 Licensing Boards 75.00 
38 - 70 Licensing Boards 
1 - 2 Administrative Procedures 75. (X) 
1 - 3 Community Colleges 10.00 
1 - 3 Independent Agencies 10.00 
1 State Personnel 60.00 
1 - 4 Administrative Hearings 10.(30 

Subtotal 

(North Carolina subscribers add 6% sales tax) 

Total 






40 






41 






42 






43 






44 






45 






46 






47 






48 






49 






50 






51 






52 






53 





















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